SIE practice questionmediumSecurities Act of 1933 - Exempt Securities
According to the Securities Act of 1933, which of the following securities is exempt from registration requirements?
- AU.S. Treasury bonds✓ Correct answer
- BCorporate stocks
- CExchange-traded funds
- DReal estate investment trusts
Explanation
Why A — U.S. Treasury bonds
U.S. government securities, including Treasury bonds, are exempt from the 1933 Act’s registration provisions. Corporate stocks, ETFs, and REITs must generally be registered unless another exemption applies.
Turn it into reps
Reading one answer is not the same as being ready
Lucky the Banker is a free practice app with 1,867+ SIE questions, weak-area tracking, and timed mock exams. No credit card, no paywall.
Spot an error in this question or explanation? Tell us — we fix these fast.
Related Capital Markets & Offerings questions
- Which statement about Regulation A+ offerings is accurate?
- A U.S. company is issuing securities only to investors outside the United States. Which regulation provides an…
- Under the Securities Exchange Act of 1934, who must register with the SEC?
- A public company must file quarterly and annual reports with which regulatory entity?
- Which would qualify an investor as 'accredited' under Regulation D?
- Which of the following must be true for a securities offering to qualify for exemption under Regulation D Rule 506(b)?
- Which of the following is primarily responsible for requiring companies to provide full and fair disclosure when…
- Which act gave the SEC authority to enforce rules against insider trading in the secondary market?