The Massachusetts Uniform Application to Register Securities (Sections 302 and 303 of M.G.L. c.110A): is a form that must be filed with the Massachusetts Securities Division in order to register a security or an offering of securities with the state. It is used to provide information about the securities, the issuer, and the offering. The form is divided into two sections, Section 302 and Section 303. Section 302 of the form requires information about the issuer, the type of security offered, and the offering itself. Section 303 requires additional information about the issuer, including financial statements and other documents. There are two types of Massachusetts Uniform Application to Register Securities (Sections 302 and 303 of M.G.L. c.110A): — one for non-public offerings and one for public offerings. The form must be completed and submitted to the Massachusetts Securities Division before the offering can be registered.
Massachusetts Uniform Application to Register Securities (Sections 302 and 303 of M.G.L. c.110A):
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(5) ?Broker-dealer? means any person engaged in the business of effecting transactions in securities for the account of others or for such person's own account.
Section 305: Denial, Suspension, and Revocation of Registration. (H) the applicant or registrant has failed to pay the proper filing fee; but the secretary may enter only a denial order under this clause and he shall vacate any such order when the deficiency has been corrected.
The Act mandates that when a person offers or sells a security in the Commonwealth that person cannot engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person.
Description. The Uniform Securities Act (USA) provides basic investor protection from securities fraud, complementing the federal Securities and Exchange Act. The act only applies to securities not regulated by the Securities and Exchange Commission.
Under the Uniform Securities Act, registration of a security in a State means that: I disclosure documents have been filed with the Administrator. II the Administrator has reviewed the content and accuracy of the filing. III the Administrator has approved of the securities being offered.
The Act parleys with the provisions of the Securities and Exchange Commission (SEC) in enforcing securities laws and regulating transactions.
