The Secrets of Wall St. Course – US Securities Laws
Quiz Summary
0 of 19 questions completed
Questions:
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
- 11
- 12
- 13
- 14
- 15
- 16
- 17
- 18
- 19
Information
You have already completed the quiz before. Hence you can not start it again.
Quiz is loading…
You must sign in or sign up to start the quiz.
You must first complete the following:
Results
Results
0 of 19 questions answered correctly
Your time:
Time has elapsed
You have reached 0 of 0 point(s), (0)
Earned Point(s): 0 of 0, (0)
0 Essay(s) Pending (Possible Point(s): 0)
Categories
- Not categorized 0%
- 1
- 2
- 3
- 4
- 5
- 6
- 7
- 8
- 9
- 10
- 11
- 12
- 13
- 14
- 15
- 16
- 17
- 18
- 19
- Answered
- Review
-
Question 1 of 19
1. Question
To conduct a securities offering in the United States, legally, you must do one of the following:
CorrectIncorrect -
Question 2 of 19
2. Question
A “Registered Offering,” such as an S-1 is very expensive.
CorrectIncorrect -
Question 3 of 19
3. Question
California Corporations Code 25102 has a $5 million maximum limitation within a twelve-month period. You may advertise the securities—with certain content constraints.
CorrectIncorrect -
Question 4 of 19
4. Question
Regulation D, Rule 504 allows up to $5 million to be raised in a twelve-month period and does not need to have an audited balance sheet.
CorrectIncorrect -
Question 5 of 19
5. Question
In regards to a private placement offering, if you contact too many unaccredited investors, and/or you (or the other officers or directors or broker agents of the issuer) do not actually know them, you can void the ability to conduct a private offering and subject yourself and everyone involved in the offering to liability.
CorrectIncorrect -
Question 6 of 19
6. Question
The private placement of securities—under Regulation D, Rules 504, 506, and/or 4(a)(5) of the Securities Act of 1933—cannot be advertised to the general public through general solicitation.
CorrectIncorrect -
Question 7 of 19
7. Question
Regulation D, Rule 506(b) allows unlimited dollar amounts to be raised privately in a twelve-month period and does need to have an audited balance sheet, if your Company has any operating history and if you will be allowing ANY non-accredited investors in the deal. Up to thirty-five (35) non-accredited investors allowed in the deal with the audited balance sheet.
CorrectIncorrect -
Question 8 of 19
8. Question
The vast majority of Start-Up or Early Stage Companies will do well to conduct a seed capital securities offering by:
CorrectIncorrect -
Question 9 of 19
9. Question
Regulation D, Rules 504 & Rule 506(b) are private placements.
CorrectIncorrect -
Question 10 of 19
10. Question
Regulation D, Rule 506(c) allows public solicitation of a private placement.
CorrectIncorrect -
Question 11 of 19
11. Question
Regulation D, Rule 506(c) requires an audited balance sheet no older than 120 days.
CorrectIncorrect -
Question 12 of 19
12. Question
Small Corporate Offering Registration (SCOR) is a state registration and is allowed on all 50 states in the US.
CorrectIncorrect -
Question 13 of 19
13. Question
Private placements limit solicitation of securities to the management team members’ pre-existing prospective-investor relationships only, unless its run through a broker dealer.
CorrectIncorrect -
Question 14 of 19
14. Question
Private placements are limited to pre-existing prospective-investor relationships, of the company’s management team members, which include:
CorrectIncorrect -
Question 15 of 19
15. Question
As defined by Regulation D, Rule 502(c), among other things, general solicitation or general advertising includes:
CorrectIncorrect -
Question 16 of 19
16. Question
The Accredited Investor Exemption 4(5) can be dangerous because no securities offering documentation is required, and hence there are no Safe Harbor provisions against claims of fraud without the proper disclosures, as provided for in most securities offering documents.
CorrectIncorrect -
Question 17 of 19
17. Question
Regulation A Tier 1 is appropriate for start-up and early stage companies, because of its ease to solicit any number of non-accredited investors.
CorrectIncorrect -
Question 18 of 19
18. Question
Federal law provides an issuer-employee exemption for participation in how many securities offerings per year?
CorrectIncorrect -
Question 19 of 19
19. Question
The vast majority of Start-Up, Early Stage, and Middle-Stage Companies will do well to conduct a development or expansion-capital securities offering by:
CorrectIncorrect