SIE - Securities Industry Essentials Exam
Training Mode
A shelf registration is best described as
When an issuer offers securities to up to a maximum of 35 unaccredited investors per year and allowed to raise an unlimited amount of capital.
A
When a private company raises up to $50 million from both accredited and non-accredited investors.
B
When a US or non-US company wants to raise capital outside of the United States.
C
When an issuer registers securities with the SEC and can sell them for a period of up to 3 years from the effective date based on market conditions.
D