State Blue Sky Laws & Securities Regulators
The Securities and Exchange Commission (the “SEC”) is the federal agency that regulates the securities industry. In addition to the federal securities laws, companies must comply with state securities laws. These state laws are often referred to as State Blue Sky Laws.
Each state adopts their own individual State Blue Sky Laws laws that govern securities offerings and the registration of sales persons. Though the specific provisions of State Blue Sky Laws vary among states, they all require the registration or exemption of securities offerings and sales, as well as of stockbrokers and brokerage firms. Below are links to State Blue Sky Laws and regulators.
Arkansas New Hampshire
California New Jersey
Colorado New Mexico
Connecticut New York
Delaware North Carolina
Florida North Dakota
Indiana Rhode Island
Iowa South Carolina
Kansas South Dakota
Minnesota West Virginia
For further information about this securities law blog post, please contact Brenda Hamilton, Securities Attorney at 101 Plaza Real S, Suite 202 N, Boca Raton, Florida, (561) 416-8956, by email at [email protected] or visit www.securitieslawyer101.com. This securities law blog post is provided as a general informational service to clients and friends of Hamilton & Associates Law Group and should not be construed as, and does not constitute, legal and compliance advice on any specific matter, nor does this message create an attorney-client relationship. Please note that the prior results discussed herein do not guarantee similar outcomes.
Hamilton & Associates | Securities Lawyers
Brenda Hamilton, Securities Attorney
101 Plaza Real South, Suite 202 North
Boca Raton, Florida 33432
Telephone: (561) 416-8956
Facsimile: (561) 416-2855