Strayer BUS430 week 7 quiz 7

Question 1
The largest cost in a public stock offering is:
Answer
printing expenses.
filing fees with the SEC.
the underwriter's commission.
legal fees.
2 points 
Question 2
The "wait to go effective" is the time period when:
Answer
the SEC registration statement is being prepared.
the underwriter decides what regulation to file under.
the firm prices the stock for the offering.
the company is waiting for SEC approval after filing the registration statement.
2 points 
Question 3
________ financing includes the personal investment of the owners and is often called "risk capital."
Answer
Equity
Asset-based
Debt
Growth
2 points 
Question 4
The outstanding publicly held stock is also called:
Answer
the public float.
equity stock.
preferred stock.
available float.
2 points 
Question 5
Working capital can be calculated by:
Answer
Current Asset - Current Liabilities.
Total Asset - Current Liabilities.
Total Liabilities - Total Asset.
Total Asset - Total Liabilities.
2 points 
Question 6
The formal underwriting agreement is signed:
Answer
on the last day before the registration statement becomes effective.
when the statement of registration is filed.
during the road show.
at the time of the letter of intent.
2 points 
Question 7
A foreign stock market that caters to small companies is:
Answer
AIM.
AMX.
the NASDAQ.
DPOX.
2 points 
Question 8
The single most important ingredient in making a successful public offering is:
Answer
choosing a capable underwriter.
negotiating a favorable letter of intent.
preparing a suitable registration statement.
filing Regulation D with the SEC.
2 points 
Question 9
________ is any form of wealth used to produce more wealth.
Answer
Debt
Equity
Capital
Capacity
2 points 
Question 10
In a public offering, the underwriter:
Answer
advises the owner as to the best structure of the business going into the sale.
serves as an adviser and consultant to the small business in preparing the registration statement for the SEC.
is bound to the offering until it is executed.
is listed as one of the officers of the company.
2 points 
Question 11
The two factors that make a deal attractive to venture capitalists are:
Answer
effective marketing strategies and networking opportunities.
high returns and a convenient (and profitable) exit strategy.
high returns and networking opportunities.
a convenient and (profitable) exit strategy and effective marketing strategies.
2 points 
Question 12
Regulation A is best suited when a company is at the ________ stage.
Answer
startup
early
expansion
later
2 points 
Question 13
When filing with the SEC, the initial registration statement:
Answer
prohibits a "road show."
is filed without share price, proceeds, or commissions listed.
signals the time to sign the formal underwriting agreement.
is generally accepted without corrections by the SEC.
2 points 
Question 14
It typically takes ________ to take a company public.
Answer
30 days
one year
60 to 180 days
two weeks
2 points 
Question 15
________ governs private placements and is designed to reduce the registration requirements for small companies going public.
Answer
Regulation D
Form SB
Form S-1
Regulation A

 

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