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Know SEC registration and exemption rules An issuance of securities to yourself, your immediate family members and a few other investors will usually be totally exempt form both federal and state securities laws. In this case, the exemption generally is ?self-executing??that is, the exemption is automatic.
PENNSYLVANIA SECURITIES ACT OF 1972. Relating to securities; prohibiting fraudulent practices in relation thereto; requiring the registration of broker-dealers, agents, investment advisers, and securities; and making uniform the law with reference thereto.
The Pennsylvania Securities Act of 1972 (?Securities Act?) specifically provides that all securities sold within the commonwealth of Pennsylvania must be registered with the Pennsylvania Department of Banking and Securities (?department?), unless the security or transaction is exempt.
The definition of Investment Adviser includes any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as a ...
The most common exemptions from the registration requirements include: Private offerings to a limited number of persons or institutions; Offerings of limited size; Intrastate offerings; and.
The Securities Act serves the dual purpose of ensuring that issuers selling securities to the public disclose material information, and that any securities transactions are not based on fraudulent information or practices.
Our work is funded entirely by the assessments and fees paid by Pennsylvania's regulated and licensed financial community. No taxpayer dollars are used to support our work.
Isolated transaction exemption (203.189): Pennsylvania companies may sell securities to no more than two Pennsylvania investors in a 12-month period without registration or filing with the department.