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Article 2. Exemptions from Qualification | Midpage
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California Code of Regulations
Title 10
Chapter 3. Commissioner of Financial Protection and Innovation
Subchapter 2. Corporate Securities
Article 2. Exemptions from Qualification
Article 2. Exemptions from Qualification
State of California
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 [Repealed]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 [Repealed]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 [Repealed]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 (Repealed)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 [Repealed]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.