Exempt Security vs Exempt Transaction? Can I sell the Security?#series63 and #Series66

Can I sell a security in a state? The series 63 exam and the series 66 exam will definitely ask you questions on whether a security is allowed to be sold in the state. The biggest question is is it exempt or is it an exempt transaction or does it have to be registered. Back up? The series 66 exam will have about 47% of the test covering registration of Securities and broker-dealers and Investment Advisors did this is a vital part of your series 66 exam study
0:00 Introduction – Understanding Exempt Securities & Transactions
1:30 The Three Ways a Security Can Be Sold in a State
3:00 Registered Securities – Qualification, Coordination, & Notification
5:00 Exempt Securities – What Never Has to Register
7:00 Federally Covered Securities – Stock Exchange, Mutual Funds, etc.
8:30 Exempt Transactions – When a Non-Exempt Security Can Be Sold
10:00 Unsolicited Orders & Private Placements – How They Work
12:00 Institutional & Employee Sales – Special Exemptions
14:00 Trustee & Executor Sales – When No Registration Is Needed
15:30 Flowchart for Determining if a Security Can Be Sold
17:00 Final Thoughts & Study Tips for Series 63, 65, and 66 Exams



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