CFP - Investments Flashcards
1
Q
Securities Not Subject ot the Securities Act of 1933 registration
A
ACID BRAINS
A- Regulation A- small offerings
C- Commercial paper
I- Intrastate offerings
D- Regulation D offerings (504, 505, 506)
B-Brokerage Transactions
R- Regulated industried (ie- CD’s)
A- Agencies of the government (railroads, muni bonds)
I- Insurance contacts/policies
N- Not for profits
S- Stock dividends & splits
