Laws & RegulationsPregunta 9 de 100
Which of the following is an exempt TRANSACTION under the Uniform Securities Act?
a.A public offering of common stock through registration by qualification
b.An isolated non-issuer transaction not effected through a broker-dealer
c.A solicited retail sale of a mutual fund
d.A general solicitation to 100 retail investors
Explicación
An isolated non-issuer transaction is a classic exempt transaction because it is a one-off sale not part of a regular business. Exempt transactions depend on the manner of sale rather than the security's identity. Public retail offerings and general solicitations do not qualify.
Referencia Legal: Uniform Securities ActPractica las 100 preguntas gratis — sin registro.
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