Series 53: Securities Exempt From Registration

Taken from our Series 53 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)
• Securities issued or regulated by government agenc

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