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Finance Glossary

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Over 700 finance terms, Shmooped to perfection.

Soliciting Orders For Unregistered, Non-Exempt Securities


Sales reps can accept unsolicited orders for non-exempt and registered securities, but they can also solicit orders for non-exempt, registered securities and for exempt, unregistered securities.

They cannot solicit orders for non-exempt, unregistered securities.

(Say that three times fast.)