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Texas Administrative Code
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Title 7 Banking and Securities
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Part 7 State Securities Board
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Chapter 109 Transactions Exempt from Registration
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Rule 109.1 Transactions Involving Existing Security Holders
Rule 109.2 Parent Subsidiary Transactions
Rule 109.3 Financial Institutions Under the Texas Securities Act, 4005.011
Rule 109.4 Securities Registration Exemption for Sales to Financial Institutions and Certain Institutional Investors
Rule 109.5 Dealer Registration Exemption for Sales to Financial Institutions and Certain Institutional Investors
Rule 109.6 Investment Adviser Registration Exemption for Investment Advice to Financial Institutions and Certain Institutional Investors
Rule 109.7 Secondary Trading Exemption Under the Texas Securities Act, 4005.019
Rule 109.8 Initial Offering Completed
Rule 109.11 Guarantee of Options
Rule 109.12 Stock Dividends
Rule 109.13 Limited Offering Exemptions
Rule 109.14 Oil, Gas, and Other Mineral Interests
Rule 109.17 Banks Under the Securities Act, 4005.016
