Review Topics
Practice Exams
Write all over your test booklet, except when you're not allowed to write in your test booklet. That's what instructions are for.

Methods of Securities Registration

Dashboard > Registration of Securities and Issuers > Methods of Securities Registration

Methods of Securities Registration

There are three ways an issuer might go about registering its securities in states. They are:

(a) Notification. Issuers using this method must have a federal registration filed with the SEC. They basically tell (notify) the state that they have met all the requirements outlined by the state to register a security.

(b) Coordination. A joint venture between the SEC and the states. Basically, the SEC notifies all states in which the issue will occur. The state does nothing to dictate the form of...

Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

Next: Federal Covered Securities  
  Prev: Administrative Stop Orders

*Securities is a registered trademark of the College Board, which was not involved in the production of, and does not endorse this product.