SIE practice questionmediumRegulation S
A U.S. company wishes to raise capital by selling unregistered securities exclusively to investors outside the United States. Which regulation permits this?
- ARegulation S✓ Correct answer
- BRegulation D
- CRegulation A+
- DRule 144
Explanation
Why A — Regulation S
Regulation S allows U.S. issuers to sell securities offshore without SEC registration. Regulation D covers private placements in the U.S., Regulation A+ allows limited public offerings, and Rule 144 sets resale requirements for restricted securities.
Turn it into reps
Reading one answer is not the same as being ready
Lucky the Banker is a free practice app with 1,867+ SIE questions, weak-area tracking, and timed mock exams. No credit card, no paywall.
Spot an error in this question or explanation? Tell us — we fix these fast.
Related Capital Markets & Offerings questions
- Which of these is considered an exempt security under the Securities Act of 1933?
- Which of the following is a characteristic of U.S. Treasury bills (T-Bills)?
- A significant rise in which economic indicator most likely signals higher inflation risk?
- Which type of investor is specifically allowed to participate in private placements under Regulation D without…
- Which entity is responsible for ongoing public company reporting, such as filing 10-Ks and 10-Qs?
- A company’s common stock is actively traded on a national securities exchange. Which federal law primarily regulates…
- An underwriter for a new corporate stock offering must provide a prospectus to investors:
- Which of the following is primarily responsible for requiring companies to provide full and fair disclosure when…