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Can my company legally offer and sell securities without registering with the SEC? FINRA may grant waivers, in exceptional cases, or exemptions for qualification exams, pursuant to FINRA Rule 1210.Additional exemptions and waivers. A transaction that is exempt from registration in Texas may not be exempt elsewhere. Do I need to file anything with the Securities and Exchange Commission pursuant to the Section 7 of the Limited Offering Exemption Notice form? Exempt securities. 502.202. Exempt transactions. 502.203. All funds are placed in an escrow account until the total offering amount has been sold. Additional exemptions and waivers. (1) A rule adopted or an order issued under this chapter may exempt a security, transaction or offer.