Securities Registration第 38 / 100 题
Registration by notification, sometimes called registration by filing, is generally available to:
a.Any issuer regardless of operating history
b.Only issuers making their very first public offering
c.Only issuers of exempt securities
d.Established issuers that meet stated requirements such as a minimum operating history and no default on senior securities
解析
Notification is the abbreviated method reserved for seasoned issuers that satisfy conditions on operating history, earnings, and the absence of defaults on debt or preferred dividends. A first-time issuer with no track record cannot use it and would turn to coordination or qualification. Exempt securities need no registration at all, so the method would be irrelevant to them.
法律依据: Uniform Securities Act免费刷完整 100 道题库 — 无需注册。
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