Social Studies, 03.01.2020 02:31, hartmaaj95
Non-exempt issuers are required to file registration statements with which of the following entities under the 1933 act?
[a] such issuers must file with the state in which the business is located.
[b] such issuers must file with the state in which the securities will be sold.
[c] such issuers must file with the securities exchange commission (sec).
[d] such issuers must file with the financial industry regulatory authority (finra).
Answers: 3
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Non-exempt issuers are required to file registration statements with which of the following entities...
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