SECTION 39-73-30. Purchasers or sellers as to whom prohibition not applicable.

(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) 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) a person registered with the Securities and Exchange Commission as a broker-dealer whose activities require registration; (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) a person who is a member of a contract market designated by the Commodity Futures Trading Commission, or clearinghouse of it; (5) a financial institution; (6) a person registered under the laws of this State as a securities broker-dealer whose activities require registration. (B) The exemptions in this section do not apply to a transaction or an activity prohibited by the Commodity Exchange Act or a CFTC Rule.