Law > STUDY GUIDE > ENTR 444 Final exam study guide | 85 Questions with 100% Correct Answers | Updated & Verified | 25 P (All)
ENTR 444 Final exam study guide | 85 Questions with 100% Correct Answers | Updated & Verified | 25 Pages
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The _______________________________ is the US federal government agency responsible for enforcing securities laws. - ✔✔ 1) Investment Company Act of 1940 2)JOBS Act of 2012 3) Securities and E... xchange Commission 4) Blue sky laws A: SEC These are the state laws designed to protect individuals from investing in fraudulent securities offerings: - ✔✔ 1) Exemption 2) Blue Sky laws 3) JOBS Act of 2012 4) Intrastate offering A: Blue Sky Laws ___________________________is technically an exemption from full registration, but in practice is like a limited registration where the process involves many of the same types of activities in doing a full registration. The monetary limit was increased from $5 million to $50 million under the JOBS Act of 2012. The issuer is allowed to "test the waters" for the offering, and the shares can be issued to the public and eventually trade freely. - ✔✔ 1) Regulation D 2) Regulation C 3) Regulation A 4) Regulation B A: Reu [Show More]
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