The initial sale of securities

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Reference no: EM131375158

1. Which of the following statements is true of a seller?

A It refers to anyone who contracts with a purchaser or who is a motivating influence that causes the purchase transaction to occur

B It refers to the individual or business organization offering a security for sale to the public

C It refers to anyone who prepares the registration statement and prospectus for securities involved in a sale

D It refers to a person who is in possession of an article and is responsible for returning the article safely to the owner once the contract is fulfilled

E It refers to anyone who controls or is controlled by the issuer, such as a major stockholder of a corporation.

2. A major stockholder of a corporation is most likely to be a(n) ______ in the initial sale of securities who also has power over the issuer in such sales.

A Seller

B Bailee

C Underwriter

D Guaranto

E Controlling person

Reference no: EM131375158

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