SIE Exam Practice Question 286

Question: 286

A shelf registration is best described as

A. When an issuer registers securities with the SEC and can sell them for a period of up to 3 years from the effective date based on market conditions.

B. When a US or non-US company wants to raise capital outside of the United States.

C. When a private company raises up to $50 million from both accredited and non-accredited investors.

D. When an issuer offers securities to up to a maximum of 35 unaccredited investors per year and allowed to raise an unlimited amount of capital.

SIE Exam Practice Question 286

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