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(14.) Approximately forty jurisdictions (thirty-seven states, two territories, and the District of Columbia) have "adopted or substantially adopted with modifications" the Uniform Securities Act. Jurisdictions Adopting the Uniform Securities Act, 2015 BLUE SKY L.
To revise the law, the group looked to the Uniform Law Commission's 2005 revised Uniform Securities Act, which 18 states, including Maine and Vermont, have adopted.
(4) Support adoption in all states of the Uniform Securities Act of 2002.
The exam covers the Uniform Securities Act and the guidelines for state registration of securities.
Although every state has its own securities laws, commonly known as "blue sky laws," the Uniform Securities Act served as the model in 36 states and the District of Columbia.
"There is a uniform securities act, and one of the prohibited things under that act is for a broker-dealer not to supervise his agents.
The Montana Investment Capital Exemption (MICE) allows companies seeking $500,000 or less from fewer than forty people to issue stock without needing to conform to all of the requirements of the Uniform Securities Act. Securities officers in the Montana Securities Department state that the stock issue can usually be handled without, or with minimum involvement of, an attorney.
The Form ADV Part 1 specifically calls out New York and Wyoming advisers for this special treatment, but even Wyoming plans to fall in line as it is set to adopt its Uniform Securities Act on July 1.
1 that repeals and replaces the current New Hampshire Uniform Securities Act and promises to modernize and simplify the capital-raising process for early-stage companies and other small-and medium-sized businesses.
The issue is somewhat unique to Illinois, because Illinois and a very small handful of other states deviate somewhat from the Uniform Securities Act. So it isn't as clear in some of these states that fixed annuities are not securities.
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