According to Regulation M Rules 101 and 102, FINRA must receive notification from offering participants for which TWO of the following? I. For listed securities only II. For listed and unlisted securities III. Only if a restricted period applies IV. Whether or not a restricted period applies

According to Regulation M Rules 101 and 102, FINRA must receive notification from offering participants for which TWO of the following? I. For listed securities only II. For listed and unlisted securities III. Only if a restricted period applies IV. Whether or not a restricted period applies

According to Regulation M Rules 101 and 102, FINRA must receive notification from offering participants for which TWO of the following?
I. For listed securities only
II. For listed and unlisted securities
III. Only if a restricted period applies
IV. Whether or not a restricted period applies






A) I & III
B) I & IV
C) II & III
D) II & IV








Answer: D