September Study Question of the Month

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Submit your answer to info@solomonexamprep.com to be entered to win a $10 Starbucks gift card.

Question

Relevant to the Series 62, Series 79, and Series 82.

 

 

 

 

 

Which of the following is an advantage of a 506(b) offering?
 
A. Sold shares are not restricted
B. It may be advertised to the public because it is considered a public offering
C. Instead of a prospectus, it may use a briefer document called an offering circular

D. It has no dollar limit

Answer: D. A private placement offering under Regulation D, Rule 506(b) has no dollar limit. The other three responses are advantages of Regulation A offerings.

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