Exemptions from '33 Act Registration Requirements
Securities Law - Registration Exemptions
Written by Jason Gordon
Updated at November 30th, 2020
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What are Exemptions from Securities Registration?
The registration and public offering process is extremely burdensome for startup companies. Numerous statutory and rule-based exemptions to the securities registration process exist. The statutory exemptions fall under Sections 3 and 4 of the 33 Act. The rule-based exemptions are based upon statutory exemptions and are found primarily in Regulation A and Regulation D of the 33 Act. These statutory and rule-based exemptions either exempt this type of security from registration or exempt a particular type of transaction from registration. We address the various exemptions individually.
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