If an issuer wishes to register a security in the state ...

By Investopedia Staff AAA
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.

RELATED FAQS

  1. Demonstrate, using equations from the Dupont or similar ratio model ...

    The key to this question is the relationship between margins and turns in the ROE portion of ratio models and formulas. ROE ...
  2. Which of the following strategies is (are) appropriate? I. If a borrower has a fixed ...

    The correct answer is: a) (II) is incorrect because if an investor has floating rate assets and is expecting interest rates ...
  3. John King, a CFA, resides in Jurisdiction A, where the securities laws and regulations ...

    The correct answer is d. Since the Law of Locality applies, and King performs his business in Jurisdiction B (where securities ...
  4. For $800,000 invested today, an insurance company promises to start making perpetual ...

    The correct answer is: A) We must first link the $800,000 today to the period when the perpetuity payments will begin. In ...
RELATED TERMS
  1. Series 79

    A examination to ensure a candidate is qualified to become a ...
  2. Research Analyst

    A person who prepares investigative reports on equity securities. ...
  3. Series 34

    An exam required for individuals seeking to engage in off-exchange ...
  4. Financial Advisor

    One who provides financial advice or guidance to customers for ...
  5. Series 23

    An exam offered by the Financial Industry Regulatory Authority ...
  6. Series 28

    An exam given by the Financial Industry Regulatory Authority ...

You May Also Like

Related Articles
  1. Insurance

    Municipal Bond Tips For The Series 7 ...

  2. Retirement

    6 Proven Tips For Series 6 Success

  3. Insurance

    Tips For Passing The Series 6 Exam

  4. Professionals

    Banker Or Broker: Which Career Is Right ...

  5. Professionals

    Breaking Down Financial Securities Licenses

Trading Center