(A) The prohibitions in Section 39-73-20 do not apply to transactions offered by and in which any of the following persons, or an employee, an officer, or a director of them acting solely in that capacity, is the purchaser or seller:

1. (1) a person registered with the Commodity Futures Trading Commission as a futures commission merchant or as a leverage transaction merchant whose activities require registration;
2. (2) a person registered with the Securities and Exchange Commission as a broker-dealer whose activities require registration;
3. (3) a person affiliated with, and whose obligations and liabilities under the transaction are guaranteed by, a person referred to in item (1) or (2);
4. (4) a person who is a member of a contract market designated by the Commodity Futures Trading Commission, or clearinghouse of it;
5. (5) a financial institution;
6. (6) a person registered under the laws of this State as a securities broker-dealer whose activities require registration.