Series 79 - Key Concepts with complete solutions rated A+ 2024

Series 79 - Key Concepts Regulation A/A+ - correct answer - Mini IPO - Form 1A - Offering Circular in place of a prospectus Tier 1 Reg A+ - correct answer Up to $20mm public capital raised per year Tier 2 Reg A+ - correct answer Up to $75mm public capital raised per year Section 4(a)(2) and 4(a)(5) of 1933 act - correct answer Private Placement: Allow an issuer to sell unregistered securities privately Reg D Safe Harbor - Rule 504 - correct answer Max Deal Size: $10mm - Unlimited accreds and nonaccreds and public solicitation allowed Reg D Safe Harbor - Rule 506(b) - correct answer - Up to 35 nonaccreds Reg D Safe Harbor - Rule 506(c) - correct answer - No nonaccreds allowed Accredited investor - correct answer - Officers and directors - Institutions w/ $5m+ in assets and a legit biz purpose - High Income/NW individuals - Broker Dealers and Investment Advisers - Individuals who can assess an investment opportunity Multiple private placements - correct answer At least 30 days must pass or they will be counted as one private placement