SA Section 3 Exemptions: Paragraph by Paragraph | Cadwalader Cabinet | Find Know Do

SA Section 3 Exemptions: Paragraph by Paragraph

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Overview

This topic page provides links to topic pages focused on each of the exemptions from registration under Section 3 of the Securities Act.

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Cadwalader, Wickersham & Taft LLP

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Partner

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Maurine Bartlett

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Cadwalader, Wickersham & Taft LLP

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Senior Counsel

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SA Section 3 Securities Exempt from Registration

SA Section 3(a)(2) (Governments, bank securities; etc) | Topic Page
SA Section 3(a)(3) (Commercial paper; current transactions) | Topic Page
SA Section 3(a)(4) (Charitable organizations) | Topic Page
SA Section 3(a)(5) (Small loans and industrial banking)
SA Section 3(a)(5) (Savings and loan and similar) | Topic Page
SA Section 3(a)(6) (Railroad equipment trusts) | Topic Page
SA Section 3(a)(7) (Cases in title 11) | Topic Page
SA Section 3(a)(8) (Certain insurance policies) | Topic Page
SA Section 3(a)(9) (Exchange offers) | Topic Page
SA Section 3(a)(10) (Court-approved fairness opinions) | Topic Page
SA Section 3(a)(11) (Intrastate offerings) | Topic Page
SA Section 3(a)(12) (Reorganizations of bank holding companies) | Topic Page
SA Section 3(a)(13) (Church plans) | Topic Page
SA Section 3(a)(14) (Security futures product) | Topic Page
SA Section 3(b)(1) (Small issues exemptive authority) | Topic Page
SA Section 3(b)(2) (Issuances not to exceed $50 million in a 12-month period)| Topic Page
SA Section 3(c) (Issuances by small investment company) | Topic Page

SA Act Rules Relating to SA Section 3 Securities Exempt from Registration

SA Rule 131 (Definition of security issued under governmental obligations) | Topic Page
SA Rule 132 (Definition of "common trust fund) | Topic Page
SA Rule 147 (Intrastate offers and sales) | Topic Page
SA Rule 147A (Intrastate sales exemption) | Topic Page
SA Rule 149 (Definition of "exchanged") | Topic Page
SA Rule 150 (Definition of "commission or other remuneration) | Topic Page
SA Rule 151 (Safe harbor definition of certain "annuity contracts or optional annuity contracts") | Topic Page
SA Rule 180 (Exemption for interests and participations issued in connection with certain H.R. 10 plans) | Topic Page
Regulation E (Exemption for Securities of Small Business Investment Companies) | Topic Page
Rule 701 (Sales pursuant to compensatory benefit plans) | Topic Page