SEC CO AP Practice Questions - SEC Phase 2-7D Compliance Officer Associated Person Exam

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Which of the following is classified as an 'Exempt Security' under Section 9 of the Securities Regulation Code (SRC) and is therefore exempt from SEC registration?

A bond issued by a private real estate developer listed on the PSE. A security issued or guaranteed by the Government of the Philippines. Common shares of stock issued by a newly incorporated local manufacturing company. Debentures issued by an investment house for public distribution.

Correct Answer:

A security issued or guaranteed by the Government of the Philippines.

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