Blue Sky Regulation

The only treatise to offer comprehensive coverage of the "Blue Sky"statutes, regulations, case law, and administrative opinions.

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Print Book:4 Volumes; Looseleaf; updated with revisions
ISBN: 9780820557625
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2nd Edition
ISBN: 9781579114022
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2nd Edition
ISBN: 9781579114022
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Product description

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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.

Topics include:
•  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
Associated Persons

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


State Guides