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Author Question: Which of the following exemptions under the 1933 Securities Act does not have limitations on the ... (Read 60 times)

anjilletteb

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on: Jun 24, 2018
Which of the following exemptions under the 1933 Securities Act does not have limitations on the number of purchasers?
 A) Rule 504
 B) Rule 505
 C) Rule 506
 D) All of the above have limitations on the number of purchasers.

Question 2

Who would be a tippee for purposes of insider trading?
 A) A janitor who gathers information by reading files on corporate counsel's desk
 B) An MBA student who tracks the market very closely
 C) A broker who once worked in the pharmaceutical industry
 D) All of the above would be tippees.


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iman

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Reply #1 on: Jun 24, 2018
Answer to Question 1

A

Answer to Question 2

A


anjilletteb

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Reply 2 on: Jun 24, 2018
YES! Correct, THANKS for helping me on my review

bblaney

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Reply 3 on: Yesterday
Thanks for the timely response, appreciate it

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