SIE Exam Question 334: Answer and Explanation

Question: 334

All the following are exempt from the registration requirements of the Securities Act of 1933 except

• A. domestic bank securities.
• B. US Treasury bonds.
• C. AAA rated corporate bonds.
• D. A rated municipal bonds.

Correct Answer: C

Explanation:

C - Corporate securities are not exempt from registration under the Securities Act of 1933. They must be SEC registered.