Order The Securities Act of 1933 Discussion

Order The Securities Act of 1933 Discussion
Order The Securities Act of 1933 Discussion
 
1. A participating firm in a securities underwriting is said to be liable
severally. This type of underwriting is called
(A) a firm commitment offering
(B) an Eastern account
(C) a Western account
(D) a best efforts offering
2. When new securities are offered, members of the syndicate are allowed
to sell to other dealers less the reallowance. Which of the following
determines the amount of the reallowance?
(A) Syndicate manager
(B) Issuing corporation
(oy) ack
(D) NYSE
3. When any unsold securities of a public offering are returned to the
issuer, what is this referred to as?
(A) A firm commitment
(B) A best efforts offering
(C) All or none offering
(D) None of the above
73
74 » McGraw-Hill’s 500 Series 7 Exam Questions to Know by Test Day
4. Which of the following would be included in a tombstone advertisement?
I. Where investors can obtain a prospectus
II. An offering price
III. A listing of syndicate members
IV. A listing of the selling group members
(A) Iand IV
(B) II, Ill, and IV
(Cy UIT, and LV
(Dyslslijanadll
Order The Securities Act of 1933 Discussion
5. Which of the following are NOT required on a “red herring” (preliminary
prospectus)?
I. Final offering price
II. Issuer’s financial status
III. A statement that some items may change before the final prospectus
IV. The effective date
(A) Iand IV
(B) Land II
(C) IL and III
(D) Il and IV
6. Which of the following statements about Regulation A offerings is true?
(A) Securities up to $10,000,000 can be raised within a 12-month
period.
(B) ‘The offering is not exempt from the registration requirements of the
Securities Act of 1933.
(C) Regulation A offerings can be a private placement.
(D) Regulation A security offerings use an offering circular in place of
a prospectus.
7. An investment bank can do all of the following EXCEPT
(A) sell securities on an agency basis
(B) become a syndicate manager
(C) underwrite new issues
(D) give advice to an issuer on how to raise money
Underwriting: The Securities Act of 1933. « 75
8. Which of the following bids is the best way to stabilize a new stock issue
309.
310.
offer
I
Li.
Hl.
IV.
(A) (B) (C)
(D)
ed at 40?
I and III
Ill and [V
land II
IV only
An underwriter of a new offering of common stock decides to offer the
issue
true?
(A) (B) (C) (D)
to the public in three states. Which of the following statements are
The issuer need only register the security with the SEC and the home state of the issuer.
The issuer is responsible for registering the security with the SEC and
also in each state in which the securities are to be sold.
. The issuer must meet and comply with any existing blue sky
requirements of all three states.
The brokerage firm selling the securities need not be registered in the
customer’s state.
I and III
II and IV
III and IV
II and II
Company XYZ wants to go public and contacts Sack

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