Laws & Regulations第 1 / 100 题
Under the Uniform Securities Act, what is the correct order of registration for a security using the coordination method?
a.It is registered only at the state level with no federal filing
b.It becomes effective the moment the application is filed with the Administrator
c.A federal registration statement under the Securities Act of 1933 is filed simultaneously with the state, and state effectiveness is coordinated with the SEC
d.The Administrator must personally approve the merits of the offering before it can be sold
解析
Registration by coordination is used when a security is registered federally under the Securities Act of 1933 at the same time as the state filing. State effectiveness is timed to coincide with SEC effectiveness. The Administrator never passes on the merits of an offering.
法律依据: Uniform Securities Act免费刷完整 100 道题库 — 无需注册。
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