Exam 8: Securities Law Considerations When Obtaining Venture Financing

Unless your security is exempted, what section of the Securities Act of 1933 requires you to file a registration statement with the SEC?

(Multiple Choice)

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Question 21

Which of the following is not a security?

(Multiple Choice)

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Question 22

The Securities Exchange Act of 1934 provides for the regulation of securities exchanges and over-the-counter markets.

(True/False)

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Question 23

Securities crowdfunding occurs when a large number of investors try to buy stocks at the same time.

(True/False)

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Question 24

Which of the following is not a characteristic of Regulation A?

(Multiple Choice)

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Question 25

A Regulation D: Rule 506 offering has no limit in terms of the dollar amount of the offering but is limited to 35 unaccredited investors.

(True/False)

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Question 26

Which of the following is not a requirement for registration of securities with the SEC?

(Multiple Choice)

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Question 27

The life of a proprietorship is determined by the owner.

(True/False)

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Question 28

Title III of the JOBS Act of 2012 establishes a small offering registration exemption and calls for SEC rules relating to the sales of securities to an Internet "crowd" (securities crowdfunding).

(True/False)

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Question 29

Which of the following topics does Rule 502 of Regulation D cover?

(Multiple Choice)

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Question 30

According to the Investment Advisers Act of 1940, a bank would not be classified as an "investment adviser."

(True/False)

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Question 31

Which of the following statements regarding the Securities Act of 1933 is not true?

(Multiple Choice)

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Question 32

Efforts to regulate the offerings and sales of securities take place under which of the following securities laws?

(Multiple Choice)

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Question 33

Offerings exempted from registration under Rule 504 of Regulation D may raise up to $5 million in a:

(Multiple Choice)

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Question 34

Which of the following is not an exemption method for making an offering exempt from SEC registration?

(Multiple Choice)

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Question 35

The objective of the Jumpstart Our Business Startups (JOBS)Act of 2012 is to stimulate the initiation, growth, and development of small businesses.

(True/False)

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Question 36

Which of the following statements regarding securities law is not true?

(Multiple Choice)

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Question 37

Regulation A offerings are limited to $10 million and do not have limitations on the number or sophistication of offerees.

(True/False)

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Question 38

Which title of the JOBS Act of 2012 established a small offering registration exemption involving the sales of securities to an Internet "crowd"?

(Multiple Choice)

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Question 39

None of the following create any securities registration responsibilities except :

(Multiple Choice)

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Question 40

Showing 21 - 40 of 83

Unless your security is exempted, what section of the Securities Act of 1933 requires you to file a registration statement with the SEC?

Which of the following is not a security?

The Securities Exchange Act of 1934 provides for the regulation of securities exchanges and over-the-counter markets.

Securities crowdfunding occurs when a large number of investors try to buy stocks at the same time.

Which of the following is not a characteristic of Regulation A?

A Regulation D: Rule 506 offering has no limit in terms of the dollar amount of the offering but is limited to 35 unaccredited investors.

Which of the following is not a requirement for registration of securities with the SEC?

The life of a proprietorship is determined by the owner.

Title III of the JOBS Act of 2012 establishes a small offering registration exemption and calls for SEC rules relating to the sales of securities to an Internet "crowd" (securities crowdfunding).

Which of the following topics does Rule 502 of Regulation D cover?

According to the Investment Advisers Act of 1940, a bank would not be classified as an "investment adviser."

Which of the following statements regarding the Securities Act of 1933 is not true?

Efforts to regulate the offerings and sales of securities take place under which of the following securities laws?

Offerings exempted from registration under Rule 504 of Regulation D may raise up to $5 million in a:

Which of the following is not an exemption method for making an offering exempt from SEC registration?

The objective of the Jumpstart Our Business Startups (JOBS)Act of 2012 is to stimulate the initiation, growth, and development of small businesses.

Which of the following statements regarding securities law is not true?

Regulation A offerings are limited to $10 million and do not have limitations on the number or sophistication of offerees.

Which title of the JOBS Act of 2012 established a small offering registration exemption involving the sales of securities to an Internet "crowd"?

None of the following create any securities registration responsibilities except :

Introduction to Finance for Entrepreneurs

Developing the Business Idea

Organizing and Financing a New Venture

Preparing and Using Financial Statements

Evaluating Operating and Financial Performance

Managing Cash Flow

Types and Costs of Financial Capital

Projecting Financial Statements

Valuing Early Stage Ventures

Venture Capital Valuation Methods

Professional Venture Capital

Other Financing Alternatives

Security Structures and Determining Enterprise Values

Harvesting the Business Venture Investment

Financially Troubled Ventures Turnaround Opportunities

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