Section 3 Exemptions from Securities Act Registration Checklist

The following charts provide an overview of (1) securities exempt from registration with the Securities and Exchange Commission (SEC) under Section 3(a) of the Securities Act of 1933, as amended (Securities Act) (15 U.S.C. § 77c) and (2) the types of transactions exempt from SEC registration pursuant to Sections 3(b) and 3(c) of the Securities Act.