Series 79: Exercise

Taken from our Series 79 Online Guide

Exercise

Next to each statement about free writing prospectuses, indicate each category of issuer to which the statement applies. Most items will have multiple correct answers.

(W)ell-known seasoned issuer

(S)easoned issuer

(U)nseasoned reporting issuer

(N)on-reporting issuer

1. _____ Can use FWPs before filing a registration statement.

2. _____ Can use FWPs only after filing a registration statement.

3. _____ FWPs must be accompanied or preceded by a preliminary prospectus.

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