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Pennsylvania Code (Last Updated: April 5, 2016) |
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Title 10. BANKING AND SECURITIES |
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PART VII. Securities |
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Subpart B. Registration of Securities |
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Chapter 203. Exempt Transactions |
| Section 203.011. Nonissuer transactions |
| Section 203.031. Fiduciary capacity |
| Section 203.041. Limited offerings |
| Section 203.091. Equity securities issued by reporting company |
| Section 203.101. Mortgages |
| Section 203.120. [Reserved] |
| Section 203.131. Bona fide pledgee |
| Section 203.141. Sales to existing securityholders |
| Section 203.151. Proxy materials |
| Section 203.161. Debt securities of nonprofit organizations |
| Section 203.171. Liquidations, dividends and distributions |
| Section 203.183. Agricultural cooperative associations |
| Section 203.184. Offers and sales to principals |
| Section 203.185. Offers prior to effectiveness of registration by qualification exempt |
| Section 203.186. Employee takeovers |
| Section 203.187. Small issuer exemption |
| Section 203.188. Cooperative Business Associations Exemption |
| Section 203.189. Isolated transaction exemption |
| Section 203.190. Certain Internet offers exempt |
| Section 203.191. SEC Rule 505 offerings |
| Section 203.192. SEC Rule 801 and 802 offerings exempt |
| Section 203.201. Accredited investor exemption |
| Section 203.202. Certain transactions with persons from Canada exempt |
| Section 203.203. Certain Rule 144A exchange transactions exempt |