SIE Exam Question 398: Answer and Explanation

Question: 398

Not all corporate securities offerings are required to be registered with the SEC. An offering done under Regulation D is often called:

• A. a private placement
• B. a limited partnership DPP
• C. an emerging growth company offering
• D. an intrastate exemption

Correct Answer: A

Explanation:

A: Regulation D covers Private Placement offerings.