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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 139. EXEMPTIONS BY RULE OR ORDER |
| § 139.1. Policies |
| § 139.2. Professional Associations |
| § 139.3. Blue Chip Exemption |
| § 139.4. Mexican Securities |
| § 139.5. Canadian Securities |
| § 139.6. Distributions by Liquidating Trustees |
| § 139.7. Sale of Securities to Nonresidents |
| § 139.8. Sales to Underwriters |
| § 139.9. Bank Holding Companies |
| § 139.10. Exchange Offers |
| § 139.11. Transactions in United States Savings Bonds |
| § 139.12. Oil and Gas Auction Exemption |
| § 139.13. Resales under SEC Rule 144 and Rule 145(d) |
| § 139.14. Non-Issuer Sales |
| § 139.15. Credit Enhancements |
| § 139.16. Sales to Individual Accredited Investors |
| § 139.17. Offers Disseminated Through the Internet |
| § 139.18. Dealer and Investment Adviser Use of the Internet To Disseminate Information on Products and Services |
| § 139.19. Accredited Investor Exemption |
| § 139.20. Third Party Brokerage Arrangements on Financial Entity Premises |
| § 139.21. Dealer, Agent, and Securities Exemptions for Canadian Accounts |
| § 139.22. Exemption for Investment Adviser to a High Net Worth Family Entity |
| § 139.23. Registration Exemption for Investment Advisers to Private Funds |
| § 139.24. Charitable Organizations Assisting Economically Disadvantaged Clients with Texas Qualified Tuition Program Plans |
| § 139.26. Intrastate Crowdfunding Exemption for SEC Rule 147A Offerings |
| § 139.27. Mergers and Acquisitions Dealer Exemption |