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

Under Section 9.1 of the SRC, which of the following banks' securities is exempt from registration requirements?

Any security issued by a bank except its own shares of stock. Common shares issued by a commercial bank to increase its capital. Bonds issued by a foreign bank's parent company abroad. Preferred shares issued by a thrift bank to the public.

Correct Answer:

Any security issued by a bank except its own shares of stock.

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