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FINRA Series 6

Category - Series 6

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Which of the following pieces of information may not be contained in a tombstone advertisement under SEC rules?

the name of the issuer
the name and address of a place where a prospectus can be obtained
the price of the offering
the type of business in which the issuing firm is engaged

Explanation

Answer: C - A tombstone advertisement may not contain the price of the offering under SEC rules. The final price would not have been set at this point anyway.

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FINRA Series 6

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