Securities Registration第 39 / 100 题
A mutual fund registered under the Investment Company Act of 1940 offers shares to residents of State G. With respect to State G, the fund's shares are:
a.Required to be registered by coordination in the state
b.Required to be registered by qualification in the state
c.A federal covered security, so the state may require only a notice filing, fees, and a consent to service of process, while retaining antifraud authority
d.Completely outside the state Administrator's reach for any purpose
解析
Investment company shares registered under the Investment Company Act of 1940 are federal covered securities, and federal law bars states from requiring their registration. States may still require notice filings, collect fees, and demand a consent to service of process. Antifraud jurisdiction is never preempted, so the last choice overstates the preemption.
法律依据: Uniform Securities Act免费刷完整 100 道题库 — 无需注册。
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