Which of the following may NOT be disclosed to a potential buyer while a security is in registration?

A. The issue is expected to be priced in early June

B. There will be a roadshow in NYC in May

C. A Brokerage report showing the security is valued properly

D. The issue is being offered through ABC Investment Bank of America

Your client retired 3 years ago and placed all of the proceeds of his 401k distribution into a rollover IRA at his local bank. If the client wishes to transfer the funds to an IRA at your Broker-Dealer, which statement is true?

A. This type of transfer is not permitted

B. This type of transfer will incur a 10% penalty

C. Mandatory tax withholding applies to trustee to trustee transfers

D. There is no limit to the number of transfers per year between custodians