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20 Cards in this Set
- Front
- Back
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Securities issued by provinces and municipalities of Canada are |
Exempt from state registration |
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Bonds Issued by the City of New York are |
Exempt from state registration |
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Securities issued by foreign governments with whom the U.S. has diplomatic relations are |
Exempt from state registration |
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Securities issued by the states and municipalities of Mexico are |
Exempt from state registration |
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Securities issued by the U.S. Treasury and U.S. agencies are |
Exempt from state registration |
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Bonds issued by insurance companies are |
Exempt from state registration |
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Securities of a Canadian company, but listed on the NYSE are |
Exempt from state registration |
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Bonds issued by a charitable organization are |
Exempt from state registration |
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Commercial paper is exempt from state registration if |
1) It has A 270-day maximum life 2) minimum denomination of $50,000 3) rated in one of the top-three categories according to an NRSRO |
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Securities that are traded on the Toronto Stock Exchange |
Exempt from state registration |
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A Bankers' Acceptances rated AAA, maturing in 6-months, and issued in $25,000 denominations would be |
non-exempt from state registration |
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A private placement is considered |
non-exempt from state registration (but is an exempt transaction) |
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A Nasdaq stock trades in the secondary market is |
Exempt from state registration |
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Securities traded on the OTCBB or the Pink Sheets are |
non-exempt |
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Securities issued by a railroad, common carrier, or public utility are |
exempt from state registration |
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Securities issued by a software company |
Non-exempt from state registration |
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According to the USA, debt issued by a fraternal organization would be |
exempt from state registration |
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Securities listed on the NYSE are |
exempt from state registration |
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A federal covered security trading in the secondary market is |
exempt from state registration |
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Stock issued by an electric company is |
is exempt from state registration |
