SIE Exam Practice Question 447

Question: 447

A syndicate has published a tombstone ad prior to the issue becoming effective. Which of the following must appear in the tombstone?

I. A statement that the ad is not an offer to sell the securities.

II. No commitment statement.

III. Contact information.

IV. A statement that the registration has not yet become effective.

A. I and II.

B. II and III.

C. III and IV.

D. All of the above