Law Blog Category: Blue Sky Laws
Florida Broker-Dealer Registration Exemption For M&A Brokers
October 25, 2016 in Blue Sky Laws, Broker Dealer Registration Requirements, Broker-Dealer, Florida Corporate Statutes, Mergers And Acquisitions, OTC Market, OTC Pink, OTCQB, OTCQX, SEC, Uncategorized
Following the SEC’s lead, effective July 1, 2016, Florida has passed a statutory exemption from the broker-dealer registration requirements for entities effecting securities transactions in connection with the sale of equity control in private operating businesses (“M&A Broker”). As discussed further below, the new Florida statute, together with the SEC M&A Broker exemption, may have Read the full article…
Testing The Waters; Regulation A+ And S-1 Public Offerings – Part 1
July 19, 2016 in Blue Sky Laws, C&DI, Form 1-A, JOBS ACT, Regulation A, Regulation A+, Rule 506, Test The Waters
State Blue Sky Concerns; Florida and New York
March 01, 2016 in Blue Sky Laws, Florida Corporate Statutes, Form S-1, Regulation A, Regulation A+, Uncategorized
Understanding The NSMIA And Navigating State Blue Sky Laws- Part II
February 03, 2015 in Blue Sky Laws, Regulation D, Rule 504, Section 18, Section 4(a)(4), Uncategorized