SIE practice questioneasyRegulation D
Which investor is eligible to participate in a Regulation D private placement without restrictions?
- AAn accredited investor✓ Correct answer
- BAny retail investor
- CA minor child
- DA foreign national residing outside the U.S.
Explanation
Why A — An accredited investor
Reg D offerings can generally be sold to accredited investors without limits; non-accredited investors face restrictions. Minors cannot directly invest without a custodian, and foreign nationals may have restrictions unless otherwise specified.
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.
Related Capital Markets & Offerings questions
- Under the Securities Exchange Act of 1934, which practice is specifically prohibited?
- Which security is EXEMPT from the registration requirements of the Securities Act of 1933?
- A company raising capital under Regulation A+ fails to provide an offering circular to investors. This is:
- A private offering of equity to sophisticated individuals is conducted under which exemption?