Business, 03.01.2020 04:31, simegustachocolate

An agent of a broker-dealer puts up a website that promotes the benefits of dollar cost averaging, including the caveat that it is suitable for investors only if they can maintain their periodic payments regardless of economic conditions and that it requires a long-term investment time horizon. if the website is viewed by an individual in another state where both the broker-dealer and agent are not registered, which of the following disclosures are required on the site in order not to be in violation of the uniform securities act in that state?
i "the broker-dealer or agent may only transact business in the state if registered in the state or if exempted or excluded from registration"
ii "follow ups or individualized responses to persons in the state that involve either effecting or attempting to effect transactions in securities will not be made absent compliance with state registration requirements or an applicable exemption or exclusion"
iii "the services being offered do not represent an offer to sell securities or a solicitation of an offer to buy the securities in the state unless the subject securities are registered or are subject to an applicable exclusion"
iv "the securities and exchange commission has not approved, nor has it disapproved of offering made in this advertisement"
a. i and ii only
b. iii and iv only
c. i, ii, iii
d. i, ii, iii, iv

Answers: 1

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An agent of a broker-dealer puts up a website that promotes the benefits of dollar cost averaging, i...