Series 79 practice questioneasyProspectus Requirements
How is the final-prospectus delivery obligation generally satisfied in a registered offering under modern SEC rules?
- ATimely SEC access-equals-delivery filing✓ Correct answer
- BAt least 30 days before the purchase
- COnly if the investor specifically requests one
- DWithin 90 days after the offering closes
Explanation
Why A — Timely SEC access-equals-delivery filing
Rule 172 generally allows SEC filing to satisfy final-prospectus delivery; physical delivery with a confirmation is not the universal modern rule.
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