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Exempt Securities

Trading Term

Securities that are exempt from registration and prospectus requirements, as determined by the SEC. The following types of securities are examples by exempt securities:

  • US government and US government agency securities.
  • Municipal securities.
  • Securities issued by a non-profit organization.
  • Short-term corporate debt instruments with maturities that do no exceed 270 days.
  • Securities issued by domestic banks and trust companies.
  • Securities issued by small business investment companies.

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