Chapter 2 - Securities Registration

Question 1

Classify which products are defined as a security and which are excluded from the definition

Answer 1

F

Question 2

Recognize the non-exempt securities under the Uniform Securities Act

Answer 2

The

Question 3

Differentiate between the registion methods for registration by Filing, Coordination, and Qualifcation

Answer 3

The

Question 4

Determine which securities are exempt from state registration

Answer 4

D

Question 5

List the exempt transactions

Answer 5

C

Question 6

Recall the federal covered securities

Answer 6

The federal cov

Question 7

Explain the concept of notice filing

Answer 7

N