Câu 47: SERIES-63: Uniform Securities State Law Examination

Under the 2002 Uniform Securities Act, registration by coordination allows:

1. A. federal covered securities to be registered simultaneously with the SEC and with the states in which the securities will be offered for sale.
2. B. securities that do not fall within the category of federal covered securities to be registered simultaneously with the SEC and with the states in which the securities will be offered for sale. — đáp án hiện tại
3. C. both state-registered and out-of-state investment bankers to participate in the underwriting and registration of a new security issue.
4. D. issuers of federal covered securities to submit only a notice filing with the Administrator of states in which the securities will be offered for sale.