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Coordinated Registration under State Securities Law

Coordinated Registration under State Securities Law

Assessment

Interactive Video

Business, Social Studies

University

Hard

Created by

Wayground Content

FREE Resource

The video tutorial explains two unique methods for coordinated registration that align with federal filings. The first method, coordinated review equity, involves an issuer filing a disclosure with Pennsylvania, which selects another state for a merit review. Once approved, the issuer can file the results in other states. The second method, small company offering registration, divides the country into five geographic areas, allowing issuers to submit a simplified disclosure form to one state's agency. Approval in one area extends to the entire region, facilitating compliance with state laws.

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1.

OPEN ENDED QUESTION

3 mins • 1 pt

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