7. The SEC accepts new corporate securities registration up to two years in advance and...
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7. The SEC accepts new corporate securities registration up to two years in advance and allows the corporation to issue those securities quickly. This is called __________________.
A. Rule 144A B. a best efforts underwriting C. shelf registration D. a firm commitment underwriting E. electronic underwriting
8. Investors have protection from losses due to securities firm failures up to $500,000 from the __________.
A. SIPC B. FDIC C. Federal Reserve D. NYSE E. Chicago Board of Trade
9. An unregistered issue is sold to a small number of large institutional buyers. This is an example of ___________.
A. best efforts offering. B. fully underwritten public offering. C. private placement. D. SEC Rule 415 offering. E. shelf offering.
10. Securities that are registered at the U.S. Federal level are not subject to U.S. state governments requiring their own registration because of _____________________.
A. The Financial Institution Modernization Act B. SEC Rule 144A C. The Federal Reserve Act D. SEC Rule 415 E. The National Securities Market Improvement Act
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