Sunday, July 28, 2019 7:36:06 PM
shall i post all the states lol
sec
While the SEC regulates and enforces the federal securities laws, each state has its own securities regulator who enforces what are known as “blue sky” laws. If a company is selling securities, it must comply with both federal regulations and state securities laws and regulations in the states where securities are offered and sold (typically, the states where offerees and investors are based).
Under the Securities Act, if a company’s offering qualifies for certain exemptions from registration, that offering is not required to be registered or qualified by state securities regulators. Even if the offering is made under one of those exemptions, the states still have authority to investigate and bring enforcement actions for fraud, impose state notice filing requirements, and collect state fees. The failure to file, or pay filing fees regarding, any such materials may cause state securities regulators to suspend the offer or sale of securities within their jurisdiction. Companies should contact state securities regulators in the states in which they intend to offer or sell securities for further guidance on compliance with state law requirements. The following table illustrates which offerings are potentially subject to state registration or qualification under the Securities Act.
https://www.sec.gov/smallbusiness/exemptofferings/faq
wyoming
§ 17-4-301. Securities registration requirement.
(a) It is unlawful for a person to offer or sell a security in this state unless:
(i) The security is a federal covered security;
(ii) The security, transaction, or offer is exempted from registration under W.S. 17-4-201 through 17-4-204; or
(iii) The security is registered under this act.
https://advance.lexis.com/documentpage/?pdmfid=1000516&crid=5f2f3fae-786e-4cbd-94be-a9dc0b09d4c3&config=00JABmMTEzODA5Zi0wOWExLTQ3NTAtOThmNy0xYjc5ZjUwYzRkZmIKAFBvZENhdGFsb2f3sjqEYfYX7EMD8yWYBYCu&pddocfullpath=%2Fshared%2Fdocument%2Fstatutes-legislation%2Furn%3AcontentItem%3A8JVT-KYC2-D6RV-H0XT-00008-00&pddocid=urn%3AcontentItem%3A8JVT-KYC2-D6RV-H0XT-00008-00&pdcontentcomponentid=234174&pdteaserkey=sr0&pditab=allpods&ecomp=g5x8kkk&earg=sr0&prid=a20f8701-d1be-4e5c-87f4-048dc6fd9fa2
arizona
What happens if I offer or sell an unregistered security?
In Arizona, whether you mean to or not, if you offer or sell an unregistered security that does not qualify for an exemption from registration, you have violated the Arizona Securities Act. A.R.S. § 44-1841 requires the registration of securities before they may even be offered for sale in Arizona. Additionally, A.R.S. § 44-1842 requires the persons making the offers to register.
The Arizona Corporation Commission may bring an administrative action against you for violation of the Arizona Securities Act. The Commission has the authority to order you to cease and desist, pay penalties, and pay restitution. The Commission may also bring a civil action against you in the Maricopa County Superior Court or in federal court. Additionally, violation of the registration provisions is a class four felony. The Commission may refer the matter to a county attorney, the attorney general, or the United States attorney for criminal proceedings. A.R.S. § 44-2032.
https://azcc.gov/securities/faqs
nevada
https://www.nvsos.gov/sos/investor-information/registration-of-securities/types-of-registration
It is unlawful for a person to offer to sell or sell any security in this State unless the security is registered or the security or transaction is exempt under this chapter. NRS 90.460
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