Exam (elaborations)
Series 79 - Exempt Transactions (correctly answered)2024 passed
- Course
- Institution
Series 79 - Exempt Transactions ( Reg A - correct answer Mini IPO that bypasses SEC reporting and auditing financials - Form 1A - Tier 1: $20 mill size cap (in 12 month period) - Tier 2: $75 mill size cap (in 12 month period) Reg D - correct answer Private Placement -504 - $10 mill (max siz...
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