Exit FINRA-SERIES-63 FINRA Uniform Securities Agent State Law
Question 3 of 5
0% complete
Q3 Single choice

Which of the following is not one of the criteria for a security to be eligible for registration by notification?

  • A

    The issuer must have preferred stockholders as well as common stockholders.

  • B

    The issuer must have a net worth of $4 million, or its net income before tax for at least two of the

  • C

    The issuer must never have defaulted on any bond or long-term lease obligation.

  • D

    If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a