Securities RegistrationPregunta 52 de 100
After a securities registration statement becomes effective in a state, the Administrator may require the person who filed it to:
a.Repurchase shares from any dissatisfied investor
b.File reports, no more often than quarterly, showing the progress of the offering and the sale of the registered securities
c.Guarantee a minimum rate of return to purchasers
d.Register the securities again in every other state
Explicación
The act authorizes the Administrator to require periodic reports, but not more frequently than quarterly, to keep the record of the offering current. Repurchase obligations arise only as a remedy for a violation, not as a routine condition. No securities registration ever carries a guaranteed return, and each state's registration requirement stands on its own.
Referencia Legal: Uniform Securities ActPractica las 100 preguntas gratis — sin registro.
Preguntas relacionadas de este tema
- A seller relies on a valid exempt transaction and therefore does not register the securities. Which statement is correct?
- Which statement about a state securities registration statement is correct?
- A small issuer registers a stock offering by qualification. The Administrator is concerned that the business plan cannot be carried out unless a substantial portion of the offering is sold. The Administrator may:
- A corporation issues short-term notes to raise working capital. For the notes to fall within the commercial paper exemption, they must generally:
- An investor is offered shares of a bank holding company that owns a single commercial bank. Regarding state registration, these shares are:
- Organizers of a proposed corporation solicit subscriptions from a handful of prospective shareholders before the company exists. For this preorganization certificate exemption to apply:
Última revisión: · proceso editorial
Equipo Editorial de PrepPass · Verificado con NASAA Series 63 — Uniform Securities Agent State Law Exam · Cómo revisamos