Series63 Exam Dumps | To say a security is "exempt," means that I. it is exempt from the state's anti-fraud laws. II. it is

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FINRA.Series63.v2023-12-18.q101
Question 87

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Question 87/101

To say a security is "exempt," means that
I. it is exempt from the state's anti-fraud laws.
II. it is exempt from state registration requirements.
III. any transaction involving it is considered to be an exempt transaction.

A. I, II, and III

B. I and II only

C. II and III only

D. II only

Correct Answer: D

Explanation
To say a security is "exempt" means only that the security is exempt from state registration requirements. It is not exempt from the state's anti-fraud laws and may or may not be part of an exempt transaction. That is defined by the transaction.

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