Business, 03.01.2020 06:31, Shavaila18
Under the uniform securities act, an "internet communication" by a broker-dealer will not be deemed to be "transacting business" in the state where the communication was received if all of the following conditions are met except:
a. the communication is limited to general information on products and services
b. the communication contains a legend that the broker-dealer can only transact business if it is registered in the state
c. there are no follow-up individualized responses to prospects that involve effecting securities transactions for a fee unless the broker-dealer is registered in the state
d. the communication must prominently disclose, with a link, the name of the state administrator to whom complaints can be forwarded by the recipient of the communication
Answers: 3
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Business, 22.06.2019 11:30, n987
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Under the uniform securities act, an "internet communication" by a broker-dealer will not be deemed...
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