For a broker dealer to qualify for the Rule 139 exclusion of issuer-specific research reports, so that publishing these reports is not considered an offering, which issuer requirements must be met? I. The issuer must be a well-known seasoned issuer II. The issuer must meet requirements for using Form S-3 or F-3 III. The issuer must have filed all periodic reports over the last 12 months

For a broker dealer to qualify for the Rule 139 exclusion of issuer-specific research reports, so that publishing these reports is not considered an offering, which issuer requirements must be met? I. The issuer must be a well-known seasoned issuer II. The issuer must meet requirements for using Form S-3 or F-3 III. The issuer must have filed all periodic reports over the last 12 months

For a broker dealer to qualify for the Rule 139 exclusion of issuer-specific research reports, so that publishing these reports is not considered an offering, which issuer requirements must be met?
I. The issuer must be a well-known seasoned issuer
II. The issuer must meet requirements for using Form S-3 or F-3
III. The issuer must have filed all periodic reports over the last 12 months 





A) I and II only
B) I and III only
C) II and III only
D) I, II and III










Answer: C