What You Need to Know About Blue Sky Compliance Investments

by | Mar 19, 2018 | Financial Services

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Each state in the US has its own unique set of individual securities laws, and these are generally referred to as “Blue Sky Laws”. Being designed to help decrease any fraudulent actions during sales or management activities, these laws are in place to help protect the interests of both parties, the investors and, issuers. The vast majority of states require that all securities be reviewed and properly documented in order to be sold off to a buyer. These are the laws that also help brokerage firms, the brokers who work with them, and investment advisers and representatives to get their licenses to where they can legally be able to offer these services.

Compliance with Blue Sky Laws

It is important to ensure that all investment dealings will adhere to these laws. Blue Sky Laws help to improve trading capacity, the worth of the investments, and their overall marketability. Brokerage firms and brokers at the state and national level will not trade in or deal with any type of securities that have not been deemed to meet the qualifications of Blue Sky Laws.

Service from Colonial Stock Transfer

Our full services are wide and expansive here, and everything we offer is all Blue Sky approved and compliant. All of our filings are as well. We can help with all compliance needs including these popular services:

  • Private: Regulation D certified for both state and federal transactions
  • Public: ROI, IPOs, state certifications, Regulation A forms, Tier 1 and Tier 2, and more
  • Secondary Trading: Exclusion research, exemption options, and filing services at the state level
  • Maintenance: Progress reports and Annual Blue Sky analysis, filings, reviews and updates

Contact Us Today

To learn more about the Blue Sky Compliance investment services we offer, call us today at 801-355-5740 or contact us Colonial Stock Transfer to schedule your consultation with our team!

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