SIE practice questioneasySecurities Act of 1933
Which security is exempt from registration under the Securities Act of 1933?
- APreferred shares
- BCorporate stocks
- CExchange-traded funds
- DU.S. Treasury Bonds✓ Correct answer
Explanation
Why D — U.S. Treasury Bonds
U.S. government securities such as Treasury bonds are exempt from registration. Corporate securities (B, D) and ETFs (C) are not exempt.
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.
Related Capital Markets & Offerings questions
- Which statement is TRUE regarding exempt securities under the Securities Act of 1933?
- Under Regulation D, what is a defining characteristic of a private placement?
- Regulation S allows U.S. issuers to:
- Who is primarily responsible for enforcing regulations against market manipulation in the secondary markets?