Multiple Choice
Which of the following are exemptions for non-issuers?
A) Securities up to $1.5 million in any 12-month period if compliance with Regulation A is achieved.
B) Sales of restricted or nonrestricted securities by affiliates.
C) Resales of restricted securities acquired under Regulation D.
D) The 1933 Act offers no exemptions from registration for sales by non-issuers.
Correct Answer:
Verified
Correct Answer:
Verified
Q13: David is a director on a board
Q14: Under Regulation A,as amended in 1992,an issuer
Q15: In 1992,the SEC issued new rules tightening
Q16: Under Regulation A,as amended in 1992,issuers may
Q17: The Securities and Exchange Commission (SEC)consists of
Q19: The Klodhoffer Corporation has assets amounting to
Q20: Insider trading rules apply to:<br>A) employees.<br>B) officers.<br>C)
Q21: Which of the following is NOT true
Q22: The antifraud provisions of the 1934 Act
Q23: The Orange Grove Limited Partnership would like