Registration by Notification

question 14

Multiple Choice

Registration by notification

• A) is required by those issuers who lack a proven record and who are beyond the scope of Securities Act of 1933.
• B) refers to documents filed with the Securities & Exchange Commission (SEC) by a privately held company, declaring its intent to offer shares of its stock to the general public.
• C) is required for those issuers of securities who must register with the Securities and Exchange Commission (SEC) and the duplicate documents are filed with the state's administrative agency.
• D) refers to the quality certification process in which an independent and accredited quality auditor conducts an on-site audit of a firm.
• E) allows issuers to offer securities for sale automatically after a stated time period expire unless the administrative agency takes action to prevent the offering.

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Definitions:

Issue Negotiable Instruments

The act of creating financial documents, such as checks or promissory notes, that are transferable from one party to another in exchange for value.

Borrow Money

The act of obtaining funds from another party (such as a bank or individual) under the agreement to repay the principal amount along with interest or other charges.

Ordinary Course Of Business

Activities and operations that are considered normal, routine, and in the usual scope of a company's business practices.

Limited Liability Partnership

A partnership arrangement that limits the liability of its partners for the debts of the partnership, such that no partner is responsible for the misconduct or negligence of another.