Series 7 - General Securities Representative Exam

Preview Mode
Start Training Session

All of the following are exempt from Reg. T requirements EXCEPT

Warrants
A
US government Securities
B
Municipal Securities
C
Non Convertible Corporate Debt
D
Training

Explanations

Warrants are not exempt from Reg T requirements; the other 3 are exempt. A broker-dealer may still have certain margin requirements for these other 3; but it may not be the full 50% Reg T requirement

Pricing