Laws & Regulations第 100 / 110 题
A federal covered adviser doing business in a state is generally subject to which state requirement?
a.Full state registration and examination by the Administrator
b.No state involvement of any kind
c.State approval of its advisory contracts before use
d.A notice filing and payment of applicable fees, plus state antifraud jurisdiction
解析
A federal covered adviser, registered with the SEC, is not subject to duplicative state registration, but a state may require a notice filing and fees and still enforce its antifraud provisions. This preserves federal-state coordination under the National Securities Markets Improvement Act framework. States cannot impose full registration on federal covered advisers.
法律依据: Uniform Securities Act免费刷完整 110 道题库 — 无需注册。
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