Laws & RegulationsCâu 35 / 100
Under the Uniform Securities Act, the least intrusive method of state registration for a well-established issuer with a strong track record filing a federal statement is:
a.Notice filing for a federal covered security
b.Registration by qualification
c.A door-to-door offering
d.Registration without any federal filing
Giải thích
Federal covered securities, such as those listed on major exchanges or certain investment company shares, are subject only to state notice filings and fees rather than full state registration. Qualification is the most burdensome method used when no federal registration exists. Notice filing is the least intrusive for covered securities.
Trích dẫn luật: Uniform Securities ActLuyện miễn phí toàn bộ 100 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- An Administrator's authority to conduct investigations and subpoena witnesses generally extends to conduct that:
- A broker-dealer wishes to withdraw its registration. Under the Uniform Securities Act, withdrawal generally becomes effective:
- An adviser engages in an agency cross transaction, arranging a trade between two of its advisory clients. To do this properly, the adviser generally must:
- An agent recommends a security to a client without any reasonable basis to believe it is suitable, simply to meet a sales quota. This conduct:
- Which of the following persons is EXCLUDED from the definition of 'broker-dealer' under the Uniform Securities Act?
- Under NASAA model recordkeeping rules, a state-registered investment adviser must generally preserve required books and records for a minimum of:
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