SIE Exam Question 697: Answer and Explanation

Question: 697

Which of the following is a set of documents, including a prospectus, which a company must file with the SEC pursuant to the Securities Act of 1933 before it proceeds with a public offering?

• A. Prospectus statement
• B. Red herring
• C. Registration statement
• D. Tombstone ad

Correct Answer: C

Explanation:

A registration statement is a set of documents, including a prospectus, which a company must file with the SEC pursuant to the Securities Act of 1933 before it proceeds with a public offering.