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NAIC Filing Exemption (FE ) Rule - page 3 / 6

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Securities Valuation Office

Filing Exempt - FE

Bonds – Rated and monitored by one or more NRSRO

Preferred Stocks – Rated and monitored by one or more NRSRO

Common Stock –

- Not restricted in transferability of ownership

- Listed on NYSE, AMEX, or NASDAQ

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