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SECTION 1.1
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SECTION 1.1

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Questions and Answers

How many primary offerings can a corporation issue?

  • One primary offering
  • Two primary offerings
  • Three primary offerings
  • Unlimited (correct)

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

  • The Securities Act of 1933 (correct)
  • The Securities Exchange Act of 1934
  • The Investment Company Act of 1940
  • The Truth in Investing Act

    • Which of the following may purchase an IPO at the POP?

  • Jim, a registered representative for Seacoast Securities
  • Jim's brother Robert, a contractor
  • Jim's niece Amber, a chef (correct)
  • Jim's father Roy, a retired engineer

    • Seabird Airlines is selling shares to the public for the first time. The company intends to use the proceeds from the sale of its stock to purchase several new passenger aircraft. This offering is an example of

    <p>initial public offering</p> Signup and view all the answers

    1. During the cooling-off period, an underwriter may do all of the following except

    <p>gather binding indications of interest</p> Signup and view all the answers

    1. Under the intrastate offering rule (Rule 147), when may a resident purchaser of securities resell them to a nonresident?

    <p>At least six months after the date of purchase</p> Signup and view all the answers

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