state registration of securities

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9.7 - Methods of State Registration of Securities QUESTIONS WITH COMPLETE SOLUTION

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Under the National Securities Markets Improvement Act of 1996 (NSMIA), investment companies registered under the Investment Company Act of 1940 are required to register: A) as exempt securities, at neither state nor federal levels. B) as securities at the federal level only. C) as securities at the state level only. D) as securities at both state and federal levels. Correct Answer: Answer: B The NSMIA requires that the SEC, rather than individual states, assume responsibility for the r...

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State Registration of Securities • State Registration of Securities

state registration of securities QUESTIONS AND ANSWERS| GRADED A

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Under the Uniform Securities Act, which of the following actions is NOT exempt from state registration? The sale of securities by a sheriff An isolated nonissuer transaction Transactions in exchange-listed securities A Rule 147 offering Correct Answer: A Rule 147 offering Rule 147 covers intrastate offerings that are exempt from federal or SEC registration, but may be subject to state qualification. A transaction by a fiduciary such as an executor, sheriff, marshal, guardian, trustee i...

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state registration of securities • state registration of securities