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Texas Administrative Code

TITLE 7 BANKING AND SECURITIES
PART 7 STATE SECURITIES BOARD
CHAPTER 139 EXEMPTIONS BY RULE OR ORDER

Rules

§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
§139.25 Intrastate Crowdfunding Exemption
§139.26 Intrastate Crowdfunding Exemption for SEC Rule 147A Offerings
§139.27 Mergers and Acquisitions Dealer Exemption

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