Securities Registration第 36 / 100 题
An issuer is conducting an interstate public offering and has filed a registration statement with the SEC under the Securities Act of 1933. To register the same offering in a state, the issuer would most appropriately use:
a.Registration by qualification
b.Registration by coordination
c.Registration by notification
d.No state registration, because a federal filing always preempts state law
解析
Registration by coordination is designed for offerings registered federally under the Securities Act of 1933; the state filing rides alongside the federal one and becomes effective at the same moment as the federal registration, provided the state's timing and pricing conditions are satisfied. Qualification is the fallback for offerings with no federal filing. Notification is a streamlined route reserved for established issuers. Federal preemption applies only to federal covered securities, which is a separate concept from simply having filed with the SEC.
法律依据: Uniform Securities Act免费刷完整 100 道题库 — 无需注册。
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