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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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