Blue Sky Regulation
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Blue Sky Regulation supplies definitive coverage of all legal and strategic issues central to state securities practice, including a fully comprehensive analysis on the basics of securities offerings under state law, as well as specific focus on the regulatory and enforcement schemes in each state.
• Offer & Sale, Registrations & Exemptions
• Merit Regulation
• Regulation of Broker-Dealers, Investment Advisers and Associated Persons
• Blue Sky Laws and the Internet
• Fraudulent Practices
• Administration and Enforcement of Blue Sky Law
• Practice and Procedure of Blue Sky Law
• Franchise and Business Opportunities
• Regulation of Small Business Capital
In addition, Blue Sky Regulation now includes a unique set of 50 State Guides, plus Guides for Washington D.C., Guam, Puerto Rico and American Samoa that provide topical summaries of statutory provisions coupled with the author's commentary. The State Guides provide insightful analysis of key differences between the particular state's securities laws and the federal securities laws, and also track current enforcement topics in each state. They also provide citations to all relevant state statutes and necessary securities forms. In addition, Blue Sky Regulation includes the full text of all the Uniform Securities Acts and Uniform Forms, and selected NASAA Statements of Policy. View Chapter Excerpt
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Table of contents
CHAPTER 1 Introduction To Blue Sky Regulation
CHAPTER 2 Definition of Security
CHAPTER 3 "Offers" or "Sales" of Securities
CHAPTER 4 State Investor Protection Authority
CHAPTER 5 Securities Registration
CHAPTER 6 Merit Regulation
CHAPTER 7 Exempt Securities
CHAPTER 8 Exempt Issuer Transactions
CHAPTER 9 Exempt Non-Issuer and Resale Transactions
CHAPTER 10 Regulation of Small Business Capital Formation
CHAPTER 11 Regulation of Intermediaries:Broker-Dealers, Investment Advisers and
CHAPTER l2 Blue Sky Laws and the Internet
CHAPTER 13 Fraud and Other Prohibited Practices
CHAPTER l4 State Enforcement Authority
CHAPTER 15 Civil Remedies
CHAPTER l6 Blue Sky Practice and Procedure
CHAPTER 17 Franchising and Business Opportunities
CHAPTER 18 Blue Sky Regulation of Municipal Securities
CHAPTER 19 State Commodity Futures Regulation
Uniform Securities Act
Samples and Uniform Forms
NASAA Statements of Policy and Model Rules
State Guides A-F
State Guides G-L