Series 63: 3.1.4. Exemptions To Issuer And Security Registration

Taken from our Series 63 Online Guide

3.1.4. Exemptions to Issuer and Security Registration

When it comes to exemptions to registration requirements for securities and issuers, the Uniform Securities Act continues to be as much about the exemptions from the rules as the rules themselves. Sometimes, even the exemptions have exemptions. I

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