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Securities Sold in Private Placements

Question 111

Multiple Choice

Securities sold in private placements:


A) require no action with the SEC
B) only require the SEC to be notified of the sale, there are no other specific rules
C) require no action with the SEC but require the investors be given a private-placement memorandum
D) require the SEC to be notified and the investors to be given a private-placement memorandum
E) none of the other choices

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