RegistrationPregunta 20 de 100
An agent working from an office in State A mails a prospectus and a solicitation letter to a prospect who reads it at her home in State B. Under the Uniform Securities Act, the offer is considered made:
a.Only in State A, where the letter originated
b.Only in State B, where the letter was received
c.In neither state, because no sale occurred
d.In both State A and State B, giving each Administrator jurisdiction
Explicación
An offer is made in a state if it originates from that state or is directed to and received in that state, so both Administrators have jurisdiction. The failure to complete a sale is irrelevant because the act reaches offers as well as sales. Sending offering material into a state is precisely the conduct that triggers the receiving state's authority.
Referencia Legal: Uniform Securities ActPractica las 100 preguntas gratis — sin registro.
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