SIE (Securities Industry Essentials) Practice Exam

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The Securities Act of 1933 primarily deals with the registration of:

  1. Government bonds

  2. Municipal securities

  3. Non-exempt issues

  4. Stock options

The correct answer is: Non-exempt issues

The Securities Act of 1933 was created to protect investors by requiring companies to register their publicly sold securities with the US government. This ensures transparency and disclosure of information for potential investors. While government bonds, municipal securities, and stock options may also require registration under different laws, they are not the primary focus of the Securities Act of 1933. Non-exempt issues, on the other hand, are specifically mentioned in the act and are subject to its provisions. Therefore, C is the correct answer.

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