The Uniform Securities Act Permits an Issuer to Register by Coordination,which

question 16

Multiple Choice

The Uniform Securities Act permits an issuer to register by coordination,which means the issuer:

• A)can file the 1933 Act registration statement with the state securities administrator.
• B)becomes exempt from registration under state securities registration law.
• C)needs to file under the state securities registration law only and not the 1933 Act.
• D)need not register the securities statement once he/she has registered under the 1933 Act.

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Definitions:

Enterprising

Showing initiative, willingness to undertake new ventures; having an entrepreneurial spirit.

Conventional

Pertaining to common practices, methods, or standards accepted by a large group or society.

Agentic Professions

Occupations that are associated with getting things accomplished.

Communal

Pertaining to or shared by the members of a community; often refers to resources or responsibilities held in common.