Jones & Co. is funded by a group of individual investors for the sole purpose of providing funding for individuals

1.

Jones & Co. is funded by a group of individual investors for the sole purpose of providing funding for individuals who are trying to convert their new ideas into viable products. What is this type of funding called?    A.  green shoe funding B.  tombstone underwriting C.  venture capital D.  red herring funding E.  life cycle capital Refer to section 15.1

2.

What is the form called that is filed with the SEC and discloses the material information on a securities issuer when that issuer offers new securities to the general public?    A.  prospectus B.  red herring C.  indenture D.  public disclosure statement E.  registration statement Refer to section 15.2

3.	Miller & Chase is offering $4 million of new securities to the general public. Which SEC regulation governs this offering?    A.  Regulation A B.  Regulation C C.  Regulation G D.  Regulation Q E.  Regulation R Refer to section 15.2

4.

What is a prospectus?    A.  a letter issued by the SEC authorizing a new issue of securities B.  a report stating that the SEC recommends a new security to investors C.  a letter issued by the SEC that outlines the changes required for a registration statement to be approved D.  a document that describes the details of a proposed security offering along with relevant information about the issuer E.  an advertisement in a financial newspaper that describes a security offering Refer to section 15.2