At the local level, each state also has its own securities laws, called “blue sky” laws, and in Wyoming, that law is the Wyoming Securities Act. The Wyoming Secretary of State administers and enforces state securities laws and has the authority to take enforcement action against those who violate securities laws. It also has an investor education website that provides individuals with important investment information to broaden their knowledge and protect against fraud. (v) any guarantee or guarantee issued by a credit union or federal credit union, industrial credit association or similar association organized and supervised under the laws of that state; At the federal level, the U.S. Securities and Exchange Commission (SEC) regulates and enforces matters relating to securities offered, bought, sold and traded in the United States. The SEC`s primary objectives are to promote capital formation and protect investors from the risks associated with investing in a volatile market. To achieve these goals, the SEC oversees key industry participants to ensure compliance with securities laws. It also has an office dedicated to investor support, and this office responds to questions, suggestions and complaints. These claims concerned investments in shares of Level 3 Communication and WorldCom. Although the plaintiffs received only attorneys` fees, the enormous damages at stake demonstrate the importance of obtaining the representation of an accomplished securities lawyer on these matters. Missouri Secretary of State Securities Division 600 West Main Street, 2nd Floor P.O. Box 1276 Jefferson City, MO 65101 We are located in New York City, but we can support clients nationwide.
If you would like to discuss a securities issue with us or learn more about our services, please contact us by phone at (212) 897-5410 or via our contact form. We look forward to hearing from you. New York Bureau of Investor Protection and Securities 120 Broadway 23rd Floor New York, NY 10271 (A) Rated by a nationally recognized statistical rating agency in one (1) of its four (4) highest rating categories at the time of the transaction; or West Virginia Securities Commission, a division of West Virginia Auditor`s Office Securities Commission State Capitol Bldg 1, Room W-100 Charleston, WV 25305 Connecticut Department of Banking Securities and Business Investments Division 260 Constitution Plaza Hartford, CT 06103-1800 (xiv) Any offer (but not the sale) of a security made on or via the Internet, the World Wide Web or any similar proprietary or common electronic system for carriers, provided: Alaska Dept. of Commerce, Community & Economic DevelopmentDivision of Banking and Securities 150 Third Street, Suite 217 Juneau, AK 99801. Mississippi Secretary of State Securities Division 125 p. Congress Street, PO Box 136 Jackson, MS 39201 Rhode Island Department of Business Regulation Division of Securities 1511 Pontiac Avenue John O. Pastore Complex Bldg. A “material default” is a default that results in the debt maturing before the stated maturity date or the termination or resumption of a lease before its declared expiration, if the debt or lease obligation for the unexpired term exceeds five percent (5%) of the total assets of the issuer (and its consolidated subsidiaries). or if arrears in required dividend payments on preferred shares are not settled within thirty (30) days; (xiv) A sale or offer to sell securities of an issuer, if the transaction is part of a single issue if: North Carolina Secretary of State Securities Division 2 South Salisbury Street Raleigh, NC 27601 Telephone: 573-751-4136 Fax: 573-526-3124 Email: firstname.lastname@example.org.
Phone: 307-777-7370 Fax: 307-777-7640 Email: email@example.com (viii) any offer or sale to a bank, savings institution, trust, insurance company, investment company within the meaning of the Investment Companies Act 1940, pension or profit-sharing fund or other financial institution or institutional purchaser or dealer, whether the buyer acts for himself or in a trustee the laws of property; Delaware Securities Division Carvel State Office Building 820 North Français Street, 5th Floor Wilmington, DE 19801 (a) The following securities are exempt from W.S. 17-4-107 and 17-4-115: (C) No securities will be sold in Wyoming as a result of the Offer until the Offered Security has been registered in accordance with this Chapter and a final prospectus or Form U-7 has been served on the Target prior to such sale.