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SIE: Regulatory Framework
SIE practice questioneasyBlue Sky filings

State securities registration under Blue Sky laws requires broker-dealers to file with which entity?

  1. ASEC
  2. BFINRA
  3. CState securities administrator✓ Correct answer
  4. DMSRB
Explanation

Why CState securities administrator

Blue Sky filings are made with state securities regulators, not federal regulators.

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