§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 |