Scope of Exemption
Source:
Section 4005.001 — Scope of Exemption, https://statutes.capitol.texas.gov/Docs/GV/htm/GV.4005.htm#4005.001 (accessed May 26, 2025).
4005.001
Scope of Exemption 4005.002
Court Supervised Sales 4005.003
Pledged Securities 4005.004
Isolated Transactions 4005.005
Insurance Company Sales 4005.006
Stock Dividends 4005.007
Existing Security Holders 4005.008
Financial Distress 4005.009
Merger, Consolidation, and Asset Sales 4005.010
Exchange of Shares 4005.011
Institutional Investors 4005.012
Private Limited Offerings 4005.013
Compensation Plans and Contracts 4005.014
Mortgages and Liens 4005.015
Nonprofits 4005.016
Financial Institutions 4005.017
Government Issuance or Guarantee 4005.018
Cooperatives 4005.019
Secondary Market Sales 4005.020
Unsolicited Orders 4005.021
Oil, Gas, or Mining Interests 4005.022
Issuer Sales of Exempt Securities 4005.023
Options 4005.024
Exemptions by Rule or Order 4005.025
Issuance or Transfer to Nonprofits 4005.051
Scope of Exemption 4005.052
Railroads or Utilities 4005.053
Nonprofit Corporations 4005.054
Listed Securities 4005.055
Commercial Paper 4005.056
Secured Debt 4005.057
Nonprofit Debt 4005.058
Suspension of Exempt Status of Trading System 4005.101
Application for Approval 4005.102
Approval of Stock Exchange 4005.103
Investigation and Hearing 4005.104
Order of Approval 4005.105
Withdrawal of Approval
Scope of Exemption 4005.002
Court Supervised Sales 4005.003
Pledged Securities 4005.004
Isolated Transactions 4005.005
Insurance Company Sales 4005.006
Stock Dividends 4005.007
Existing Security Holders 4005.008
Financial Distress 4005.009
Merger, Consolidation, and Asset Sales 4005.010
Exchange of Shares 4005.011
Institutional Investors 4005.012
Private Limited Offerings 4005.013
Compensation Plans and Contracts 4005.014
Mortgages and Liens 4005.015
Nonprofits 4005.016
Financial Institutions 4005.017
Government Issuance or Guarantee 4005.018
Cooperatives 4005.019
Secondary Market Sales 4005.020
Unsolicited Orders 4005.021
Oil, Gas, or Mining Interests 4005.022
Issuer Sales of Exempt Securities 4005.023
Options 4005.024
Exemptions by Rule or Order 4005.025
Issuance or Transfer to Nonprofits 4005.051
Scope of Exemption 4005.052
Railroads or Utilities 4005.053
Nonprofit Corporations 4005.054
Listed Securities 4005.055
Commercial Paper 4005.056
Secured Debt 4005.057
Nonprofit Debt 4005.058
Suspension of Exempt Status of Trading System 4005.101
Application for Approval 4005.102
Approval of Stock Exchange 4005.103
Investigation and Hearing 4005.104
Order of Approval 4005.105
Withdrawal of Approval
