Series 79 practice questioneasyProspectus Requirements
Which of the following must be included in the final prospectus for a public offering?
- ASEC comment letters
- BA list of institutional investors
- CPreliminary pricing estimates
- DFinal offering price and number of shares offered✓ Correct answer
Explanation
Why D — Final offering price and number of shares offered
The final prospectus must disclose the final offering price and the number of shares offered. SEC comment letters and investor lists are not included, and pricing estimates are replaced by final numbers. Confusing the preliminary with the final prospectus is a key trap.
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