Search results
Results from the WOW.Com Content Network
The act was revised again in 1985 as the Uniform Securities Act of 1985, and amended in 1988, but few states adopted these changes, and instead continued to operate under the 1956 Act. [1] The most recent version of the Act is the Uniform Securities Act of 2002 which was last revised in 2005.
Uniform Rules of Evidence Act: 2005 Uniform Securities Act: 1956, 1985, amended 1988, 2002 Uniform Simultaneous Death Act: 1940, 1993 Uniform State Administrative Procedure Act: 1981 Uniform Status of Children of Assisted Conception Act: 1988 Uniform Statute and Rule Construction Act: 1995 Uniform Statutory Form Power of Attorney Act: 1988
The Uniform Investment Adviser Law Examination consists of 130 questions plus 10 pretest questions that cover topics applicants must know to provide investment advice to clients. Applicants have 180 minutes to complete the examination, and must answer at least 94 (72%) of the questions correctly to pass the Series 65 exam.
The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...
The Securities Litigation Uniform Standards Act of 1998 (SLUSA), Pub. L. 105–353 (text), 112 Stat. 3227, is a federal legislative act in the United States regarding private class action lawsuits for securities fraud.
Uniform Securities Act; Uniform Simultaneous Death Act; Standard State Zoning Enabling Act; T. Uniform Trade Secrets Act; Traffic law in the United States;
Uniform Securities Act; Uniform Securities Agent State Law Exam; United States person; Uptick rule This page was last edited on 22 July 2014, at 14:09 (UTC). ...
The Uniform Securities Agent State Law Exam is written by NASAA and administered by FINRA. Representative of the nature of its activities are its frequent warnings regarding investment fraud , [ 1 ] its focus on the tax advantages of college plans, [ 2 ] and its involvement in naked short selling litigation aimed at the Depository Trust and ...