We have changed our privacy policy. In addition, we use cookies on our website for various purposes. By continuing on our website, you consent to our use of cookies. You can learn about our practices by reading our privacy policy.
© 2016 Shmoop University, Inc. All rights reserved.
GO TO SAT PREP GO TO ACT PREP

Finance Glossary

Just call us Bond. Amortized bond.

Over 700 finance terms, Shmooped to perfection.

Soliciting Orders For Unregistered, Non-Exempt Securities

Definition:

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.)