Article 2. Exemptions from Qualification
- § 260.100. Class Exemption for Persons Issuing Life Income Contracts.
- § 260.100.1. Form of Request for Designation.
- § 260.100.2. Definition of “Life Income Contract.”
- § 260.100.3. Request for Order of Exemption.
- § 260.101. Insurance Company Securities. [Repealed]
- § 260.101.1. Definitions of Terms and Implementation of Section 25101 of the Code. [Repealed]
- § 260.101.2. Certified National Securities Exchanges.
- § 260.101.3. Notice Under Section 25101 (b) of the Code. [Repealed]
- § 260.102. Negotiating Permit.
- § 260.102.1. Non-Public Offering Under Subdivision (a) of Section 25102.
- § 260.102.2. Non-Public Offering and Sale.
- § 260.102.3. Evidence of Indebtedness.
- § 260.102.4. One Class of Stock.
- § 260.102.5. Beneficial Ownership of Securities.
- § 260.102.6. Transfer Restriction on Stock Issued Under Small Offering Exemption. (Repealed)
- § 260.102.7. Selling Expenses.
- § 260.102.8. Notice of Issuance of Securities Pursuant to Small Offering Exemption.
- § 260.102.9. Proof of Mailing.
- § 260.102.10. Designation of Institutional Investors and Governmental Agencies and Instrumentalities by Class.
- § 260.102.10.1. Distribution Under Securities and Exchange Commission Rule 144A.
- § 260.102.11. Advances and Loans in Connection with Small Offering Exemption.
- § 260.102.12. Limited Offering Exemption Interpretations.
- § 260.102.13. Limited Offering Exemption Excluded Purchasers.
- § 260.102.14. Limited Offering Exemption Notice of Transaction.
- § 260.102.15. Distribution Under Securities and Exchange Commission Rule 144A.
- § 260.102.16. Limited Public Offering Exemption Notice of Transaction.
- § 260.102.17. Disclosure Statement Requirement for Section 25102(n)/Rule 504 Offerings.
- § 260.102.18. Distribution Under Securities and Exchange Commission Rule 144A.
- § 260.102.19. Notice of Transaction for Purchase or Option Plans or Agreements.
- § 260.103. Exemption from Qualification of Recapitalizations and Reorganizations.
- § 260.103.1. Authorization of New Classes of Stock.
- § 260.103.2. Stock Split.
- § 260.103.3. Voting Shares. [Repealed]
- § 260.103.4. Traded in the Market.
- § 260.103.5. Legend or Escrow of Stock Dividend Shares or Split Shares.
- § 260.103.6. Limited Exchange Transaction—Notice of Exchange Transaction.
- § 260.104. Unsolicited Orders.
- § 260.104.1. Designation of Institutional Investors and Governmental Agencies and Instrumentalities by Class.
- § 260.104.2. Bona Fide Secured Party.
- § 260.104.3. Securities Subject to Legend or Escrow Condition. [Repealed]
- § 260.104.4. Order Withholding Exemption.
- § 260.105. Exemption for Offers Prior to Sale.
- § 260.105.1. Exemption for Oil and Gas Interests Issued for Drillsite Rights or Transit Rights.
- § 260.105.2. Out-of-State Sales and Sales to Broker-Dealers.
- § 260.105.3. Effective Date of Requirement of Qualification for Secondary Trading. [Repealed]
- § 260.105.4. Sale of Franchise. [Repealed]
- § 260.105.5. Phantom Stock Plans.
- § 260.105.6. Professional Organizations.
- § 260.105.7. Inter-Dealer Quotations.
- § 260.105.8. Incentive Stock Option Plans.
- § 260.105.9. Split or Reverse Split of Beneficial Interests in Voting Trust.
- § 260.105.10. Securities of Foreign Issuers. [Repealed]
- § 260.105.11. Securities of Foreign Issuers.
- § 260.105.12. Temporary Nonissuer Exemption. [Repealed]
- § 260.105.13. Extended Eligibility for Nonissuer Transaction. [Repealed]
- § 260.105.13.1. Private Resales Under Securities and Exchange Commission Rule 144A.
- § 260.105.14. Sales to Public Agencies.
- § 260.105.15. Exemption from Qualification of Certain Exchanges.
- § 260.105.16. Checks, Drafts, and Money Orders.
- § 260.105.17. Exemption for Certain Publicly Traded Common Shares.
- § 260.105.18. Commodity Contracts. [Repealed]
- § 260.105.19. Exemption for Certain Commodity Contracts. [Repealed]
- § 260.105.20. Exemption for Certain Nonprofit Organizations.
- § 260.105.21. Exemption for Amendments to Limited Partnership Agreements Pursuant to Corporations Code Section 15520.5. [Repealed]
- § 260.105.22. Shares of Foreign Subsidiaries.
- § 260.105.23. Exemption for Advances to Corporations.
- § 260.105.26. Exemption for Preneed Funeral Trust Arrangements.
- § 260.105.27. Temporary Nonissuer Exemption. [Repealed]
- § 260.105.28. Reliance on Eligible Securities List. [Repealed]
- § 260.105.29. Use of Red Herring Offering Circulars in Regulation A Offerings.
- § 260.105.30. Real Estate Loans: Multiple Lender Transactions. [Repealed]
- § 260.105.31. Limited Offering Exemption—Transitional Exemption. [Repealed]
- § 260.105.33. Senior to Listed or Designated Securities.
- § 260.105.34. Exemption for Rated Debt Securities.
- § 260.105.35. Exchange-Traded Options on Stock Indices.
- § 260.105.36. Exchange-Traded Options on Foreign Currencies.
- § 260.105.37. Exemption for Certain Securities Listed on the Chicago Board Options Exchange. [Repealed]
- § 260.105.38. Guarantees of Governmental Securities.
- § 260.105.39. Resales of Units in Unit Investment Trusts.
- § 260.105.40. Certain Canadian Tax-Deferred Retirement Savings Accounts and Canadian Residents.