Question

A broker-dealer is registering a new issue with the Administrator of State A. What information must be sent to the Administrator?

A. The number of shares
B. The Articles of Incorporation
C. The financials
D. The tax identification number filed with the IRS

Answer 1

A, B and C

Step-by-step explanation:

Information required by the administrator are; the number of shares, the financial information of the issuer and the issuers articles of incorporation. The administrator does not require the issuers tax identification number.