1. A syndicate has published a tombstone ad prior to the issue becoming effective. Which of the following must appear in the tombstone ad?
I. A statement that the registration has not yet become effective
II. A statement that the ad is not an offer to sell the securities
III. Contact information
IV. A no commitment statement
2. During a new issue registration, false information is included in the prospectus. Which of the following may be held liable to investors?
I. Officers of the issuer
II. Accountants
III. Syndicate members
IV. People who signed the registration statement
3. A syndicate may enter a stabilizing bid:
4. Corporations may do all of the following, EXCEPT:
5. A corporation in your state wants to sell 1,000,000 shares of stock at $5 per share to investors under Rule 147. Eighty percent of all of the following could be located in the state to meet the following business requirement, EXCEPT:
6. During an underwriting of a hot issue, the syndicate exercises its greenshoe provision. This will allow it to buy an additional:
7. Which of the following is NOT a type of offering?
8. Once a company decides to raise long-term capital to meet its needs, it will first:
9. A firm participating in the offering of a private placement may sell the private placement to:
10. A company doing a preemptive rights offering would most likely use what type of underwriting agreement?
11. A Regulation A offering as amended by the JOBS Act pertains to an:
12. Rule 145 covers which of the following?
13. The SEC has been reviewing a company's registration statement and would like clarification on a few items. It would most likely:
14. Which of the following is NOT a type of underwriting commitment?
