Which of the following advertising activities indicate that a bank would NOT be exempt from SEC registration requirements?
A) Listing its securities transfer services as a service the bank provides for IRA accounts along with other IRA benefits
B) Listing its securities services for trust accounts in the bank's extensive trust services brochure
C) Mentioning in a print advertisement that the bank provides accommodation securities trades for its regular custodial accounts
D) Stating in an advertisement concerning employee benefit plan services that the bank provides securities brokerage services for employee benefit plan accounts
Correct Answer:
Verified
Q397: Jayne Logan, a loan officer at State
Q398: A bank representative is selling insurance products
Q399: A recent audit revealed that the bank's
Q400: If a bank is a government securities
Q401: State National Bank has a Web site
Q403: Which of the following is NOT a
Q404: Under the Interagency Statement on Retail Sales
Q405: First National Bank is a municipal securities
Q406: A bank municipal securities dealer has 30
Q407: A municipal securities principal must directly supervise
Unlock this Answer For Free Now!
View this answer and more for free by performing one of the following actions
Scan the QR code to install the App and get 2 free unlocks
Unlock quizzes for free by uploading documents