Series 65: Exercise

Taken from our Series 65 Online Guide

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Exercise

Match the proper mode of registration or filing with each of the securities issues described below.

A. Registration by qualification

B. Registration by coordination

C. Registration by filing

D. Notice filing

1. _____ Solar Mutual Fund wishes to sell shares in several states.

2. _____ Enamel Brand has registered its stock with the SEC and makes regular reports to the SEC. The stock only trades OTC. Enamel Brand wishes to sell its latest issue in State A.

3. _____ Tech Burst is a new company that is preparing its first IPO. It is only interested in making its securities available for sale in its home state.

4. _____ Playback Music Limited is a new company that is preparing its first IPO. It is interested in making its securities available for sale in several different states.

Answers

1. D. Mutual fund shares are federal covered securities. Notice filing is the mode by which a s

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