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The $150,000 Exemption, more correctly referred to as the Minimum Amount Investment Exemption, applies to which of the following statements? Select one: O a. The
The $150,000 Exemption, more correctly referred to as the "Minimum Amount Investment Exemption", applies to which of the following statements? Select one: O a. The buyer must buy as a Principal, not as an Agent for somebody else O b. The securities purchased cost at least $150,000 O C. The $150,000 may be allocated among several classes of securities of the same issuer O d. All of the above are true O e. Only a. and b. above are true The Start-up Crowdfunding Exemption is used when a company wants to issue its securities through a funding portal, such as FrontFundr or some similar platform. Which of the following statements are true with respect to the Crowdfunding Exemption? Select one: O a. The Issuer has 90 days to complete the offering O b. OC. Maximum investment per individual is $1,500 O d. All of the above are true O e. Only a. & c. above are true The Issuer can raise up to $250,000, two times per year You need to research a Canadian public company. Which of the following sites would you check to obtain all documents filed by the company with securities regulators? Select one: O a. O b. FICO O C. PEDAR O d. SEDAR EDGAR Which of the following statements are true with respect to "bought deals"? Select one: O a. The risk of a market collapse resides with the issuer, not the dealer O b. The issuer sells the entire issue to the underwriting syndicate c. The underwriter will sell the securities to the public for the same price that it paid to the issuer O d. All of the above are true O e. Only a. & c. above are true
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