Exemption Table

Statutory & Rule Exemptions Under Section 61-1-14

Statute / Rule

Description

Type

Available to

Filing Required

Term

(1)(a)

Government

Security

Issuer & Non-issuer

Self-executing

Indefinite

(1)(b)

Foreign Government

Security

Issuer & Non-issuer

Self-executing

Indefinite

(1)(c)

Depository Institution

Security

Issuer & Non-issuer

Self-executing

Indefinite

(1)(d)

Public Utility

Security

Issuer & Non-issuer

Self-executing

Indefinite

(1)(e)

Exchange Listed

Security

Issuer & Non-issuer

Self-executing

Duration of Listing

(1)(f)

Non-Profit Organization

Security

Issuer & Non-issuer

Self-executing

Indefinite

(1)(g)

Employee Benefit Plan

Security

Issuer & Non-issuer

Self-executing

Duration of Investment Contract

(1)(h)

Registered Investment Company

Security

Issuer & Non-issuer

Self-executing

12 Months

(1)(i)

Discretionary

Security

Issuer & Non-issuer

Self-executing

Varies

(2)(a)

Isolated

Transaction

Non-issuer

Self-executing

Duration of transaction

(2)(b)

Manual Listing

Transaction

Non-issuer

Filing Required with exceptions

See R164-14-2b(F)

(2)(c)

Unsolicited

Transaction

Non-issuer

Self-executing

Duration of transaction

(2)(d)

Underwriter

Transaction

Issuer

Self-executing

Duration of transaction

(2)(e)

Real Estate

Transaction

Issuer

Self-executing

Duration of transaction

(2)(f)

Court Ordered

Transaction

Non-issuer

Self-executing

Duration of transaction

(2)(g)

Bona Fide Pledgee

Transaction

Non-issuer

Self-executing

Duration of transaction

(2)(h)

Institutional Investor

Transaction

Issuer & Non-issuer

Self-executing

Duration of transaction

(2)(i)

Preorganization Subscription

Transaction

Issuer

Self-executing

Duration of transaction

(2)(j)

Existing Securities Holder

Transaction

Issuer

Self-executing with filing available

Duration of transaction

(2)(k)

Red Herring

Transaction

Non-issuer

Self-executing if registration pending

Duration of transaction

(2)(l)

Dividend of Issuer

Transaction

Issuer

Self-executing

Duration of transaction

(2)(m)

Secondary Trading

Transaction

Non-issuer

Filing Required

See R164-14-2m(F)

(2)(n)

Non-Public Offering

Transaction

Issuer & Non-issuer

Self-executing

Life of offering

(2)(o)

Sale of Condominium or Time Share

Transaction

Issuer & Non-issuer

Self-executing

Duration of transaction

(2)(p)

Merger and Reorganization

Transaction

Issuer

Filing Required

Duration of transaction

(2)(q)

Limited Offering

Transaction

Issuer

Self-executing

Duration of transaction

(2)(r)

Commodity Contract

Transaction

Issuer & Non-issuer

Self-executing

Duration of transaction

(2)(s)

Fairness Hearing

Transaction

Issuer

Filing & Hearing Required

Duration of transaction

(2)(t)

Judicially Approved Exemption

Transaction

Issuer

Self-executing

Duration of transaction

(2)(u)

Federal Covered Advisor

Transaction

Non-issuer

Self-executing

Duration of transaction

(2)(v)

Discretionary

Transaction

Issuer & Non-Issuer

Filing Required

Duration of transaction

R164-14-2v

MJDS - Secondary Trading

Transaction

Non-issuer

Self-executing

Duration of transaction

R164-14-21v

Solicitation of Interest (Testing the Waters)

Transaction

Issuer

Filing Required

Duration of transaction

R164-14-23v

Foreign Securities- Secondary Trading

Transaction

Non-issuer

Self-executing

Duration of transaction

R164-14-24v

Internet Solicitations

Transaction

Issuer

Self-executing

Duration of transaction

R164-14-25v

Accredited Investor

Transaction

Issuer

Filing Required

Duration of transaction

R164-14-26v

Reorganization Involving Certain Federal Covered Securities

Transaction

Issuer

Self-executing

Duration of transaction

R164-14-27v

Compensatory Benefit Plan

Transaction

Issuer

Self-executing

Duration of transaction

R164-4-8

Cross Border Trading

Transaction

Issuer & Non-issuer

Filing Required

Duration of transaction