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Securities Act: Shelf Registration

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Questions and Answers

What is the term for the disclosure document for exempt securities, similar to a prospectus but with less detailed disclosures?

Offering Circular (correct)

Notice of Sale

Investment Letter

Official Statement

Which of the following terms is synonymous with private placement stock?

Legend Stock (correct)

Restricted Stock

IPO Stock

Publicly Traded Stock

What is the primary disclosure document for a municipal security?

Prospectus

Offering Circular

Notice of Sale

Official Statement (correct)

How many primary offerings can a corporation issue?

Unlimited Signup and view all the answers

What federal law regulates the initial sale of securities to the public?

The Securities Act of 1933 Signup and view all the answers

Which of the following is NOT a characteristic of private placement stock?

Publicly traded Signup and view all the answers

What is the term for the initial sale of securities to the public?

IPO Signup and view all the answers

Who can purchase an IPO at the POP (Public Offering Price)?

Anyone, as long as they meet the IPO's requirements Signup and view all the answers

What term is used to describe securities that are exempt from registration requirements?

Exempt Securities Signup and view all the answers

What is the primary market for securities?

Primary market for new issues Signup and view all the answers