FINRA Securities Industry Essentials Exam (SIE) SIE Question # 1 Topic 1 Discussion

FINRA Securities Industry Essentials Exam (SIE) SIE Question # 1 Topic 1 Discussion

SIE Exam Topic 1 Question 1 Discussion:
Question #: 1
Topic #: 1

Which of the following statements is true regarding the SEC's characterization of a registration statement that has just been made effective?


A.

The SEC has approved the security being offered for sale.


B.

The SEC has found the information presented to be true and accurate.


C.

The SEC has determined that no material information has been omitted.


D.

The SEC has not passed judgment on the merits of the security being offered for sale.


Get Premium SIE Questions

Contribute your Thoughts:


Chosen Answer:
This is a voting comment (?). It is better to Upvote an existing comment if you don't have anything to add.