Registration by notification

Multiple Choice

$$ refers to the quality certification process in which an independent and accredited quality auditor conducts an on$-$site audit of a firm

$$ is required for those issuers of securities who must register with the Securities and Exchange Commission $($SEC$)$ and the duplicate documents are filed with the state's administrative agency

$$ refers to documents filed with the Securities & Exchange Commission $($SEC$)$ by a privately held company, declaring its intent to offer shares of its stock to the general public

allows issuers to offer securities for sale automatically after a stated time period expires unless the administrat ve agency acts to prevent the offering

$$ is required by those issuers who lack a proven record and who are beyond the scope of Securities Act of $1933$