Compliance

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What is Blue Sky Law?

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Blue Sky Law
A blue sky law is a state law regulating the offer and sale of securities, as well as the regulation of broker dealers and stock brokers. Though the specific provisions of these laws vary from(…)

” >Blue Sky Law refers to the laws and regulations of the individual states regarding the registration of securities, brokerage firms and investment advisers. While the most well known securities laws are the federal laws, each state has its own rules and regulations. The blue sky laws of each […]

Brokers Compliance News

Review Your WSPs – Subpoenas are Coming

The authority to open SEC investigations, and therefore to issue subpoenas, was expanded under the Obama Administration to the director of Enforcement, rather than solely to the Commission itself. The Director of Enforcement then delegated that authority to various senior officials, including regional and associate directors and specialized unit chiefs. […]