SIE practice questionhardSecurities Act of 1933 Registration
A corporate issuer wants to raise capital in the U.S. public markets. Under the Securities Act of 1933, they must:
- ARegister only with FINRA
- BOpen accounts only for insiders
- CRegister the securities and provide a prospectus to investors✓ Correct answer
- DSeek a Regulation D exemption automatically
Explanation
Why C — Register the securities and provide a prospectus to investors
The 1933 Act requires registration and prospectus delivery for public offerings. Exemptions or insider-only sales are not standard for public offerings.
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