Securities Registration (Other Rules)

Pataasin ang iyong marka sa homework at exams ngayon gamit ang Quizwiz!

Securities traded on the Midwest (Chicago) Stock Exchange are NOT exempt from which requirement of the Uniform Securities Act? A. Registration B. Anti-fraud C. Filing of advertising and sales literature D. All of the above

B

Filing of advertising with the Administrator is NOT required for: I U.S. Government securities II Municipal securities III Investment company securities IV Options Clearing Corporation securities A. I and II only B. III and IV only C. I, II, III D. I, II, III, IV

C

Under the Uniform Securities Act, an offering of a limited partnership made to a bank trust department is: I a transaction that is exempt from registration II exempt from the advertising filing rules III exempt from the anti-fraud rules A. I only B. II only C. I and II D. I, II, III

C

Under the Uniform Securities Act, which statement is TRUE regarding the anti-fraud provisions for exempt and non-exempt securities? The anti-fraud provisions apply to: A. exempt securities only B. non-exempt securities only C. both exempt and non-exempt securities D. neither exempt or non-exempt securities

C

Filing of advertising with the Administrator is NOT required for: I U.S. Government securities II Municipal securities III Investment company securities IV NYSE-listed securities A. IV only B. I and II only C. III and IV only D. I, II, III, IV

D

Filing of advertising with the Administrator is required for which one of the following? A. U.S. Government securities B. Municipal securities C. Investment company securities D. Options Clearing Corporation securities

D

Limited partnership shares are sold to a bank. Under the provisions of the Uniform Securities Act of 1956, as amended, this transaction is subject to: I advertising filing requirements with the Administrator II anti-fraud provisions as promulgated in the Act III payment of filing fees with the State A. I and III only B. II only C. II and III only D. I, II, III

D

True or False: Under the uniform securities act, the anti fraud provisions apply to everything

True

The administrator cannot require the filing of advertising in a state for

exempt securities, Federal Covered securities and for securities offered in exempt transactions.


Kaugnay na mga set ng pag-aaral

Macro economics: Chapter 1 study example questions

View Set

Chpt. 11 Promoting a healthy work environment

View Set

Abeka 4th Grade History Pgs 17-23 Ch #2

View Set