Q:

If an issuer wishes to register a security in the state, and it is a new issue being registered with the SEC, the least complicated method to choose would be:
a) Registration by coordination
b) Registration by qualification
c) Registration by filing
d) Registration by certification

A:
The correct answer is a.
Registration by coordination is permitted when the issuer has filed a registration application with the SEC under the Securities Act of 1933.

MORE FAQS

  1. How do I register for the CFA program for the first time?

  2. Can you trade securities before you pass the Series 63 exam?

  3. According to the USA, it is unlawful for a person to offer to sell a security in a state unless:

  4. If ABC corporation, which is listed on the New York Stock Exchange ...

  5. Under the Uniform Securities Act, a registrant who holds custody of client funds must do all of the ...

  6. Federal covered securities are subject to which of the following requirements ...

  7. Under the Uniform Securities Act, the Administration is empowered to perform which of the following ...

  8. Investment advisors must register with the SEC when their assets under management total what amount?

  9. How do I know if I am buying unregistered securities or stocks?

  10. Under the Uniform Securities Act, the registration of an investment adviser results in automatic registration ...

  11. Are there any continuing education requirements for Series 63 exams?

  12. What are unregistered securities or stocks?

  13. The Administrator issue may issue a stop order for a federal covered security under all the following ...

  14. If my employment with my current firm terminates relatively soon, do I have two years before my FINRA exams expire no matter how long I was with the last member firm?

  15. What is the Central Registration Depository?

  16. Are dividends the best way to make money for retirement?

  17. How many attempts at each CFA exam is a candidate permitted?

  18. What's the average salary of a financial advisor?

  19. Why is Hong Kong considered a tax haven?

RELATED FAQS

  1. How do I register for the CFA program for the first time?

    CFA Institute provides prospective CFA candidates with a couple registration options.1) Online Registration: This is the ...
  2. Can you trade securities before you pass the Series 63 exam?

    Find out more about state registration and Series 63 exam scores. Learn how long these scores are valid and how registration ...
  3. According to the USA, it is unlawful for a person to offer to sell a security in ...

    a. the security is registered with Federal Reserve. b. it is a federal covered security, is exempted from registration, or ...
  4. If ABC corporation, which is listed on the New York Stock Exchange ...

    The correct answer is d). This transaction would qualify under two different exemptions – the first because it is an exchange ...
  5. Under the Uniform Securities Act, a registrant who holds custody of client funds ...

    The correct answer is d). A registrant is required to segregate client funds, send notice whenever funds have been moved ...
  6. Federal covered securities are subject to which of the following requirements ... ...

    The correct answer is b. Federal covered securities are subject to only federal registration with the SEC and do not have ...
RELATED TERMS
  1. Piggyback Registration Rights

    A form of registration rights that grants the investor the right ...
  2. Effective Date

    The date, declared by the Securities & Exchange Commission (SEC), ...
  3. SEC Form 1

    An application for and amendments to an application for registration ...
  4. Shelf Registration

    A regulation that a corporation can evoke to comply with U.S. ...
  5. SEC Form S-6

    A filing with the Securities and Exchange Commission (SEC), which ...
  6. SEC Form 24F-1

    A filing with the Securities and Exchange Commission (SEC) that ...
Hot Definitions
  1. Applicable Federal Rate - AFR

    Rates published monthly by the IRS for federal income tax purposes. These rates are used to calculate assigned interest charges. ...
  2. Foreign Exchange Reserves

    Foreign exchange reserves are reserve assets held by a central bank in foreign currencies, used to back liabilities on their ...
  3. North American Free Trade Agreement - NAFTA

    A regulation implemented on Jan. 1, 1994, that decreased and eventually eliminated tariffs to encourage economic activity ...
  4. Trickle-Down Theory

    An economic idea which states that decreasing marginal and capital gains tax rates - especially for corporations, investors ...
  5. Derivative

    A security with a price that is dependent upon or derived from one or more underlying assets.
  6. Fiduciary

    A fiduciary is a person who acts on behalf of another person, or persons to manage assets.
Trading Center