Series 14: Exercise

Taken from our Series 14 Online Guide

Exercise

Fill in the blank with the appropriate term from the following list.

Regulation D, Rule 504

Regulation D, Rule 506(b)

Regulation D, Rule 506(c)

Regulation A

Regulation S

1. Johnny’s Widgets wants to hold a private offering of its securities. The total value of its securities issue is $4.5 million, and the company wants to advertise the offering in newspapers and magazines. The offering could be held under a _____ exemption.

2. ACME Incorporated proposes a public offering of its securities. The offering is for $30 million, and ACME wishes to avoid SEC registration. The offering could be held under a _____ exemption.

3. Tribal Questing LTD holds an offering of its securities geared toward mostly accredited investors; however, the company says it will allow for up to 20 non-accredited investors t

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