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Exam Series 6 All Questions

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Exam Series 6 topic 1 question 80 discussion

Actual exam question from FINRA's Series 6
Question #: 80
Topic #: 1
[All Series 6 Questions]

Which of the following securities is not exempt from registration requirements?

  • A. private-placement variable universal life insurance
  • B. a revenue bond issued by the state of Florida to raise money to build an airport
  • C. a bond issued by the U.S. post office
  • D. a new issue of stock issued by a corporation that already has shares of its stock trading on the NYSE
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Suggested Answer: D 🗳️
A new issue of stock issued by a corporation that already has shares of its stock trading on the NYSE is not exempt from registration requirements.
Private placements, municipal bonds, and bonds issued by U.S. government agencies are all exempt from registration requirements.
by lolojepu at April 6, 2025, 1:15 a.m.

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