Series 14: Exercise

Exercise

Fill in the blank with the appropriate term from the following list.

Regulation D, Rule 504

Regulation D, Rule 506(b)

Regulation D, Rule 506(c)

Regulation A

Regulation S

1.Johnny’s Widgets wants to hold a private offering of its securities. The total value of its securities issue is $4.5 million, and the company wants to advertise the offering in newspapers and magazines. The offering could be held under a _____ exemption.

2.ACME Incorporated proposes a public offering of its securities. The offering is for $30 million, and ACME wishes to avoid SEC registration. The offering could be held under a _____ exemption.

3.Tribal Questing LTD holds an offering of its securities geared toward mostly accredited investors; however, the company says it will allow for up to 20 non-accredited investors t