Series 79 practice questionmediumPrivate Placements
What is Regulation S designed to address?
- ARegistered IPOs for U.S. exchanges
- BTender offer rules for U.S. issuers
- CBroker-dealer net capital requirements
- DOffers and sales that occur outside the United States✓ Correct answer
Explanation
Why D — Offers and sales that occur outside the United States
Offers and sales that occur outside the United States Regulation S provides a safe harbor for offshore transactions made outside the U.S. securities registration framework. It is commonly used in global offerings alongside Rule 144A tranches.
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