Series 50: Securities Exempt From Registration

Taken from our Series 50 Online Guide

Securities Exempt from Registration

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), including municipal fund securities
• Securities issue

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