Correspondence, as defined by FINRA, consists of any written (including electronic) communication that is distributed or made available to:

25 or fewer retail investors within any 30-calendar-day period

30 prospective retail customers within any 30-calendar-day period

One or more of its existing retail customers

Fewer than 25 prospective retail customers within any 60-calendar-day period

25 or fewer retail investors within any 30-calendar-day period

A Regulation A offering is for a maximum amount of securities of:

$75 million or less during a 12-month period

$10 million or less during a 12-month period

$75 million or less during a 12-month period

$10 million or less during a 6-month period

$75 million or less during a 6-month period

According to Regulation D, which of the following are NOT considered "accredited investors?"

A married couple who each have an annual earned income of $125,000 for two years

An individual with an annual earned income of $250,000 for each of the last two years

An individual with a net worth of $1,500,000, not counting his or her home

A married couple who each have an annual earned income of $125,000 for two years

Which process is this? Possible sanctions include censure, fines, suspension, and expulsion. Alternative resolutions include settlement, an AWC, or an MRVP. The outcome can be appealed within 25 days.

A member firm’s handling of a customer complaint

What is the deadline for filing the Form D for a Regulation D offering?

15 calendar days after the first sale

10 business days after the first sale

30 calendar days after the first PPM is distributed

For purposes of Regulation D, what does it mean to be sophisticated?

To have the knowledge and experience in financial and business matters to evaluate the investment in question

To have income of $200,000 for each of the last two years, or $300,000 with spouse

To have education or job experience equivalent to professional knowledge of a subject related to the investment in question

Which of the following is an advantage of a 506(b) offering?

It may be advertised to the public because it is considered a public offering

Instead of a prospectus, it may use a briefer document called an offering circular

Series 82 Sample Quiz

FINRA Private Securities Offerings Representative Exam

Number of Questions	10
Time Duration	Untimed
Answer Feedback Instant validation and rationale
Percentage required to pass	70%

Start Test

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