MANGUM & ASSOCIATES

If your business plans to offer securities, you likely know about federal SEC regulations. However, many companies don’t prepare for state-level securities laws, also called Blue Sky Laws. Some states follow federal laws, but others have their own rules that can affect your registration if ignored.

For example, a company registered in multiple states might deal with up to 50 different state regulators, besides the SEC, the National Association of Securities Dealers, and regional exchanges. States have unique notice and registration requirements, and regulators can investigate if they see fit.

Knowing why Blue Sky Laws exist, what to do and avoid, and how to file securities properly is crucial. Our guide gives you the knowledge and tools to handle them confidently.