1. Home
  2. Legal
  3. Exemptions from ’33 Act Registration Requirements

Exemptions from ’33 Act Registration Requirements


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.

Was this article helpful?

Related Articles

Leave a Comment