Laws & Regulations第 35 / 100 题
Under the Uniform Securities Act, the least intrusive method of state registration for a well-established issuer with a strong track record filing a federal statement is:
a.Notice filing for a federal covered security
b.Registration by qualification
c.A door-to-door offering
d.Registration without any federal filing
解析
Federal covered securities, such as those listed on major exchanges or certain investment company shares, are subject only to state notice filings and fees rather than full state registration. Qualification is the most burdensome method used when no federal registration exists. Notice filing is the least intrusive for covered securities.
法律依据: Uniform Securities Act免费刷完整 100 道题库 — 无需注册。
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