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___Once the SEC approves a registration, the cooling-off period ends and an effective date is established >>>A: T E. B: F C:T D:T E:F The Uniform Securities Act (USA) is the template from which state securities laws are derived. Under the USA, a BD would have to register with the state under all of the following conditions EXCEPT: a. There was an office in the state b. Calls were directed to prospects in the state c. The BD made a market in municipal bonds issued by the state D. Calls were received from clients in the state >>>¢. The BD made a market in municipal bonds issued by the state An issuer wishing to raise additional capital engages the services of an under-writer who proposes limiting the sale to the 6 New England states. In doing so, it is most likely that the registration method to be used will be >>>Coordination Under the Securities Act of 1933, a corporation may qualify for an exemption from the registration statement and prospectus requirements under all of the following exclusionary provisions EXCEPT:
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