Question

Under the JOBS Act, an issuer that is an emerging growth company or a broker-dealer representing the issuer may engage in the following communications before a registration statement is filed with the SEC EXCEPT (A)Contact potential investors that are Qualified Institutional Buyers (QIBs) to ascertain investor interest (B)Contact potential investors that are Accredited Investors (AIs) to ascertain investor interest. (C)Contact potential investors that are Retail Investors to ascertain investor interest (D)Engage in oral or written communications with potential investors.

Answer 1

C)Contact potential investors that are Retail Investors to ascertain investor interest

Step-by-step explanation:

According to the jobs act, an issuer or a broker dealer that presents the issuer could deal in the communciation prior to the registration statements would be filed in the SEC but the same should not be considered for the potential investors where the retail investors would not certain the interest of an investor

Therefore the option c is relevant