The Secrets of Wall St. Course – Conduct a Series of Securities Offerings
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Question 1 of 23
1. Question
Assuming commercial success the most expensive form of capital is:
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Question 2 of 23
2. Question
Which security tends to work best for raising seed capital?
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Question 3 of 23
3. Question
Which security tends to work best for raising development capital?
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Question 4 of 23
4. Question
Seed capital is best used to:
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Question 5 of 23
5. Question
Development capital is best used for:
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Question 6 of 23
6. Question
Expansion capital is best used for:
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Question 7 of 23
7. Question
It is often wise for an Early Stage company to issue common stock on a publicly traded securities exchange because it’s easier to raise capital
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Question 8 of 23
8. Question
Market makers like secondary offerings of penny stocks
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Question 9 of 23
9. Question
By selling a series of hybrid securities to raise capital for your start-up or early stage company you further assure:
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Question 10 of 23
10. Question
You and your wife own shares in your company jointly. You both can legally solicit and sell your Company’s securities.
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Question 11 of 23
11. Question
Only SEC-registered FINRA Member broker-dealers or bona fide officer or director of your Company can legally solicit and sell your Company’s securities.
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Question 12 of 23
12. Question
Any officer or director may be specially compensated directly or indirectly for communicating with prospective investors.
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Question 13 of 23
13. Question
Federal law, however, provides an issuer-employee exemption for participation in how many offerings per year?
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Question 14 of 23
14. Question
The CFO or VP of Finance’s job description must be in the nature that raising capital is an incidental part of that position.
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Question 15 of 23
15. Question
A true CFO or VP of Finance’s background should come from what industry(s)
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Question 16 of 23
16. Question
In addition to raising capital through securities- offerings, an in-house finance department can manage:
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Question 17 of 23
17. Question
During the hiring process, it is wise to have a final draft copy securities-offering document available to show to qualified CFO candidates, so they can make an informed decision on whether or not to join your firm.
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Question 18 of 23
18. Question
Additional Benefits of Issuing Hybrid Securities would include:
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Question 19 of 23
19. Question
80% of all start-up and early stage companies fail or stagnate within their first five years primarily due to lack of sufficient capital reserves.
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Question 20 of 23
20. Question
Your early to later-stage Company may also need to invest in marketing support—approximately $50,000–$100,000 in additional cost—for a broker-dealer to be interested in an engagement with your early to later-stage
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Question 21 of 23
21. Question
Hiring money finders can be extremely dangerous— and it rarely works. You should never pay any up-front investor introductory fees.
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Question 22 of 23
22. Question
No one is going to raise capital for your start-up You are essentially on your own at the pre-revenue stage.
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Question 23 of 23
23. Question
When competing for capital in any market environment, simply compete on the basis of the following criteria:
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