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