Series 54: 1.1.2. Securities Exempt From Registration

Taken from our Series 54 Online Guide

1.1.2. 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 issued or regulated

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The Solomon material was invaluable in helping me pass this exam. The organization of the content, the tests, the video and lecture material, were all exactly on point. Thank you! (Series 54)

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