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Texas Administrative Code (Last Updated: March 27,2024) |
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TITLE 7. BANKING AND SECURITIES |
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PART 7. STATE SECURITIES BOARD |
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CHAPTER 109. TRANSACTIONS EXEMPT FROM REGISTRATION |
| § 109.1. Transactions Involving Existing Security Holders |
| § 109.2. Parent Subsidiary Transactions |
| § 109.3. Financial Institutions under the Texas Securities Act, §5.H |
| § 109.4. Securities Registration Exemption for Sales to Financial Institutions and Certain Institutional Investors |
| § 109.5. Dealer Registration Exemption for Sales to Financial Institutions and Certain Institutional Investors |
| § 109.6. Investment Adviser Registration Exemption for Investment Advice to Financial Institutions and Certain Institutional Investors |
| § 109.7. Secondary Trading Exemption under the Texas Securities Act, §5.O |
| § 109.8. Initial Offering Completed |
| § 109.11. Guarantee of Options |
| § 109.12. Stock Dividends |
| § 109.13. Limited Offering Exemptions |
| § 109.14. Oil, Gas, and Other Mineral Interests |
| § 109.17. Banks under the Securities Act, §5.L |