When Issuing Securities, Which of the Following Can Occur Prior

question 62

Multiple Choice

When issuing securities, which of the following can occur prior to receiving the approval by the SEC of a registration statement?
I.Oral offer to buy shares
II.Written offer to buy shares
III.Final determination of the offer price
IV.Distribution of a preliminary prospectus

• A)I only
• B)III only
• C)III and IV only
• D)I and IV only
• E)None of the listed activities can occur until after the SEC approval is received.

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Definitions:

Industry

The economic activity concerned with the processing of raw materials and manufacturing of goods in factories, also referred to as a sector of the economy.

Mistrust

The lack of trust or confidence in someone or something, often resulting from past experiences or perceived risks.

Attachment

The emotional bond that forms between newborns and their primary caregivers, crucial for social and emotional development.

Mothers

Women who have given birth to, adopted, or otherwise serve as the primary female parent figure in a child's life.