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Texas Administrative Code

TITLE 7 BANKING AND SECURITIES
PART 7 STATE SECURITIES BOARD
CHAPTER 109 TRANSACTIONS EXEMPT FROM REGISTRATION

Rules

§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
§109.15 Designated Matching Services
§109.17 Banks under the Securities Act, §5.L

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