SIE Exam Practice Question 413

Question: 413

When the term 'shelf registration' is used, it typically refers to:

A. Registering securities with the SEC in anticipation of a future offering.

B. Registering securities with the SEC and selling part of the registered securities immediately and reserving the remaining securities for sale at a later time.

C. Filing a notice with the SEC of the Issuer's intent to file a registration statement in the next 90 days.

D. An offering which began but due to lackluster public interest, was put 'on the shelf' for a period not to exceed 30 days to see if investor interest picked up.

SIE Exam Practice Question 413

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