FAQ’s about Exempt Markets and Exempt Market Dealers

A diverse array of investments that include real estate, debt, business equity, investment funds, derivatives and asset-backed securities can be sold in the exempt market.

Exempt funds are good for businesses and savvy investors because it allows an entity to raise funds without the time and expense that is involved in preparing a prospectus. Investors get an opportunity to participate in investments at an early stage, which can allow for higher returns.

Certain classes of investments, like the Tri City Group Monthly Income Mortgage Trust, can by law only be sold via an intermediary. Those intermediaries are exempt market dealers.

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