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Which of the following activities are allowed once a registration statement for a new issue is filed with the SEC? I Sending a customer a
Which of the following activities are allowed once a registration statement for a new issue is filed with the SEC?
I | Sending a customer a "red herring" preliminary prospectus | |
II | Accepting an indication of interest from the customer | |
III | Accepting a deposit from the customer | |
IV | Accepting a firm order from the customer |
A
I and II
B
III and IV
C
II and III
D
I, II, III, IV
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