Series63 Exam Dumps | Which of the following would meet the requirements for an "exempt security?"

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FINRA.Series63.v2023-12-18.q101
Question 8

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Question 8/101

Which of the following would meet the requirements for an "exempt security?"

A. a $500,000 promissory note that matures in two years

B. commercial paper with a $100,000 face value and a maturity of five months that is rated AA by Standard and Poors

C. a $25,000 promissory note that matures in three months

D. commercial paper with a $200,000 face value and a maturity of three months that is rated BB by Standard and Poors

Correct Answer: B

Explanation
An issue of commercial paper with a $100,000 denomination and a maturity of five months with an AA rating from Standard and Poors meets the requirements for an "exempt security." A short-term security, with no more than 270 days to maturity, that has a denomination of at least $50,000, and has a rating of AAA, AA, or A from a recognized rating agency is exempt from registration with the state Administrator.

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