Series63 Exam Dumps | "Federal covered securities" were defined and exempted from state registration requirements by the:

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FINRA.Series63.v2023-12-18.q101
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Question 88/101

"Federal covered securities" were defined and exempted from state registration requirements by the:

A. National Securities Markets Improvement Act of 1996 (NSMIA.)

B. Gramm-Leach-Bliley Act of 1999 (GLBA.)

C. Uniform Securities Act (USA.)

D. National Conference of Commissioners on Uniform State Laws (NCCUSL.)

Correct Answer: A

Explanation
The National Securities Markets Improvement Act of 1996 defined "federal covered securities" and exempted them from state registration requirements. The Gramm-Leach-Bliley Act focused on financial institutions and provided for their registration as broker-dealers under certain conditions. The National Conference of Commissioners on Uniform State Laws (NCCUSL) is the organization that drafted the Uniform Securities Act, which is not comprised of actual laws itself, but is, instead, just a guideline for each state to use when formulating its own securities laws.

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