SIE Exam Dumps | Company XYZ files a registration statement for its initial public offering (IPO). XYZ is permitted to

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Question 69

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Question 69/80

Company XYZ files a registration statement for its initial public offering (IPO). XYZ is permitted to communicate all of the following information about the offering in writing to investorsexceptthat:

A. The IPO is expected to price in early February.

B. The IPO is being underwritten by Bank ABC and Bank DEF.

C. A recent industry report supports the company's valuation.

D. The road show will be held February 6-10 in New York and Boston.

Correct Answer: C

During the "quiet period" after filing the registration statement, issuers are restricted in what they can communicate to the public to avoid influencing the market.
* C is correctbecause promotional statements, such as those supporting the company's valuation, are prohibited during this time.
* A,B, andDare factual, non-promotional statements and are permitted.

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