SIE Exam Dumps | How does an individual acquire restricted stock?

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Question 47/117

How does an individual acquire restricted stock?

A. By participating in an SEC Regulation D offering

B. By participating in an initial public offering (IPO)

C. By exercising publicly traded warrants

D. By exercising an option for exchange-traded calls

Correct Answer: A

Restricted stock refers to securities acquired through private placements, such as those offered under Regulation D. These securities are not registered with the SEC and are subject to holding period restrictions before resale.
* A is correct because Regulation D offerings involve private placements, resulting in restricted stock.
* B is incorrect because IPOs involve publicly traded shares, not restricted stock.
* C and D are incorrect because restricted stock is not obtained through warrants or exchange-traded options.
Reference: SEC Regulation D, Rule 144 (Restricted and Control Securities)

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