Series 53: Exempted Securities

Taken from our Series 53 Online Guide

Exempted Securities

Section 3(a)(2) of the 1933 Act exempts certain securities from the registration process. The primary exempted securities include:

• Securities issued by the federal government (U.S. Treasury bills, notes, and bonds)
• Municipal securities (securities issued by states, cities, and counties)
• Securities issued or regulated by government agencies and governm

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