Which of the following is not defined as a security under the Uniform Securities Act quizlet?D)Fixed annuity. A fixed annuity is an insurance contract and is not considered a security under the USA. Options on stock, (listed or not), interests in limited partnerships, and preorganization certificates are all defined as securities under the USA.
Which of the following are defined as persons under the Uniform Securities Act?(15) “Person” means an individual, a corporation, a limited liability company, a partnership, a limited partnership, a limited liability partnership, an association, a joint-stock company, a trust where the interests of the beneficiaries are evidenced by a security, an unincorporated organization, a government or a ...
Which of the following is not defined as a broker“Broker-dealer” does not include (1) an agent, (2) an issuer, (3) a bank, savings institution, or trust company, (4) a person who has no place of business in this state if (A) he or she effects transactions in this state exclusively with or through (i) the issuers of the securities involved in the transactions, (ii) ...
Which of the following securities is are exempt under the Uniform Securities Act?Securities issued by insurance companies, and Canadian municipal securities are exempt from registration under the USA. Any security that represents an interest in, or debt of, or is guaranteed by an insurance company organized under the laws of any state and authorized to business in this state is exempt.
|