Series 7 - General Securities Representative Exam
Preview Mode
All of the following securities are exempt from the registration requirements under the Securities Act of 1940 EXCEPT
Public utility bonds
A
Secondary equity offerings
B
Fixed annuities
C
Municipal bonds
D
Explanations
Secondary offerings are the sale of corporate securities after the Primary Offering. They require registration, as they are corporate securities. Public utility bonds, fixed annuities and municipal bonds are all exempt from registration.
Pricing
Basic
Part of the questions for each course
-
- Course
- Questions
-
- SIE
- 20 of 150
-
- Series 6
- 30 of 500
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- Series 7
- 50 of 625