1. Which of the following can be done afterthe registration statement is filed but before the registration statement is effective?

A. only run atombstone ad

B. only send outred herring prospectus

C. Sell securities to prospective buyers

D. Can runtombstone ads and send out a red-herrings prospectus

2 Tippees:

A. people who get information from corporate insiders.

B. are relatives of corporate directors who are given nonpublic information.

C. can be liable under section 10(b).

D. all of the above