Series 6: 1.2.1.5. Exemptions To The Registration Requirements Of 1933 Act

Taken from our Series 6 Top-off Online Guide

1.2.1.5.  Exemptions to the Registration Requirements of 1933 Act

While most securities sold in the U.S. must register with the SEC, the Securities Act of 1933 exempts certain kinds of securities from registration. Examples of exempt securities include:

  • U.S. Treasuries
  • Municipal securities
  • Securities issued or guaranteed by a federal agency (CMOs and MBSs)
  • Securities issued by a nonprofit (including church bonds)
  • Commercial paper (matures under nine months)
  • Banker’s acceptances (matures under nine months)
  • Bank securities (not including bank holding companies)
  • Eurobonds

Securities that are not exempt include:

  • St

Since you're reading about Series 6: 1.2.1.5. Exemptions To The Registration Requirements Of 1933 Act, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 6
Please Enable Javascript
to view this content!