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Exemptions from ’33 Act Registration Requirements

Cite this article as: Jason Mance Gordon, "Exemptions from ’33 Act Registration Requirements," in The Business Professor, updated January 14, 2015, last accessed April 9, 2020, https://thebusinessprofessor.com/knowledge-base/10109-2/.

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EXEMPTIONS FROM ’33 ACT REGISTRATION REQUIREMENT

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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