Exemptions From Registration

  1. § 90.495 - Claim of exemption: Applicable fee and filing requirements; burden of proof when filing not required
  2. § 90.496 - Claim of exemption: Effective period
  3. § 90.497 - Claim of exemption: Expeditious processing
  4. § 90.498 - Claim of exemption: Offering issued in series of securities or relating to multiple funds
  5. § 90.500 - Securities listed on certain exchanges
  6. § 90.505 - Rated promissory note, draft, bill of exchange or banker's acceptance
  7. § 90.510 - Statutory exemption for nonissuer transaction by sales representative licensed in State: Inclusion of information on issuer in designated securities manual
  8. § 90.512 - Nonissuer transaction by sales representative licensed in State: Security complying with certain requirements for statutory exemption
  9. § 90.515 - Offering complying with Regulation D of Securities and Exchange Commission
  10. § 90.516 - Nonissuer transaction by sales representative licensed in State: Security included or designated for inclusion in Nasdaq SmallCap Market
  11. § 90.517 - Nonissuer transaction by sales representative licensed in State: Security included or designated for inclusion in OTC Bulletin Board
  12. § 90.518 - Nonissuer transaction by sales representative licensed in State: Security of no more than $100,000 held by shareholder for 12-month period
  13. § 90.519 - Certain securities issued by governmental entities
  14. § 90.521 - Offer or sale complying with Regulation S of Securities and Exchange Commission
  15. § 90.522 - Nonissuer transaction for which designated registration statement filed with and declared effective by Securities and Exchange Commission
  16. § 90.525 - Isolated transaction
  17. § 90.532 - Offering of certain securities for which designated notice is filed within 15 days after first sale
  18. § 90.534 - Certain offers of securities made over the Internet or similar electronic system
  19. § 90.536 - Certain offers of securities made to accredited investors
  20. § 90.538 - Certain offers of securities made to solicit interest

The following state regulations pages link to this page.



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