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