Securities Registration (Other Rules)
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.
