subject
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

ansver
Answers: 3

Another question on Business

question
Business, 21.06.2019 18:30
What’s the best type of healthcare plan
Answers: 1
question
Business, 21.06.2019 20:00
Jorge is a manager at starbucks. his operational plan includes achieving annual sales of $4,000,000 for his store. with only one month left to end of the fiscal year, jorge realizes that he won't reach his annual sales goal. what are his options?
Answers: 2
question
Business, 22.06.2019 04:30
What is the second step in communication planning? determine the purpose of the message outline the communication for delivery determine the best channel of communication clarify objectives identify the audience
Answers: 2
question
Business, 22.06.2019 08:00
How do communism and socialism differ in terms of the role that government plays in the economy ?
Answers: 1
You know the right answer?
Under the uniform securities act, an "internet communication" by a broker-dealer will not be deemed...
Questions
question
Mathematics, 07.10.2019 18:50
question
Mathematics, 07.10.2019 18:50
Questions on the website: 13722362