Identify Offering Regulations
Series 7 · Flashcards
SERIES 7 · FLASHCARDS
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QUESTION
Under Rule 506(b), is general solicitation permitted?
QUESTION
What is the resale restriction rule that typically applies to securities sold in a private placement?
QUESTION
What SEC notice filing is generally required after a Regulation D offering is sold?
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ANSWER
File Form D with the SEC (notice filing). Serves as a notice to the SEC within 15 days of first sale to facilitate oversight of exempt offerings.
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