Texas Administrative Code
Title 7 - BANKING AND SECURITIES
Part 7 - STATE SECURITIES BOARD
Chapter 139 - EXEMPTIONS BY RULE OR ORDER
Section 139.1 - Policies
Universal Citation: 7 TX Admin Code ยง 139.1
Current through Reg. 49, No. 38; September 20, 2024
(a) It is the policy of the State Securities Board to refuse to grant any exemptions by order under §5.T of the Securities Act for specific individual transactions or issuers.
(b) The company or person engaged in a transaction exempt under a rule adopted pursuant to the Securities Act, §5.T, shall not be deemed a dealer within the meaning of the Act unless the rule by its terms indicates otherwise.
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