Series 79 practice questioneasySEC Registration Statements
In which scenario is information permitted to be incorporated by reference in an SEC registration statement?
- AIn an S-1 for an IPO
- BFor foreign issuers only
- CIn all registration statements
- DIn a Form S-3 filed by an eligible reporting company✓ Correct answer
Explanation
Why D — In a Form S-3 filed by an eligible reporting company
Only certain forms, such as Form S-3, allow incorporation by reference. S-1 does not permit this, making it a common area for confusion.
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