Section 409.2-201 – Exempt securities.
Effective – 01 Sep 2003 409.2-201. Exempt securities. — The following securities are exempt from the requirements of sections 409.3-301 to 409.3-306 and 409.5-504: (1) A security, including a revenue obligation or a separate security as defined in Rule 131 (17 C.F.R. 230.131 ) adopted under the Securities Act of 1933, issued, insured, or guaranteed […]
Section 409.2-202 – Exempt transactions.
Effective – 28 Aug 2005 409.2-202. Exempt transactions. — The following transactions are exempt from the requirements of sections 409.3-301 to 409.3-306 and 409.5-504: (1) An isolated nonissuer transaction, whether effected by or through a broker-dealer or not; (2) A nonissuer transaction by or through a broker-dealer registered, or exempt from registration under this act, […]
Section 409.2-203 – Additional exemptions and waivers.
Effective – 01 Sep 2003 409.2-203. Additional exemptions and waivers. — A rule adopted or order issued under this act may exempt a security, transaction, or offer; a rule under this act may exempt a class of securities, transactions, or offers from any or all of the requirements of sections 409.3-301 to 409.3-306 and 409.5-504; […]
Section 409.2-204 – Denial, suspension, revocation, condition, or limitation of exemptions.
Effective – 01 Sep 2003 409.2-204. Denial, suspension, revocation, condition, or limitation of exemptions. — (a) Except with respect to a federal covered security or a transaction involving a federal covered security, an order under this act may deny, suspend application of, condition, limit, or revoke an exemption created under section 409.2-201(3)(C), (7) or (8) […]