Texas Secondary Trading Exemption Noitce
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FAQ
Texas' Blue Sky Laws, similar to such laws across the country, are designed to protect investors from fraudulent securities transactions within the state. They ensure an environment of transparency and trust in the securities industry, safeguarding the interests of investors.
The Securities Act of 1933 has two basic objectives: To require that investors receive financial and other significant information concerning securities being offered for public sale; and. To prohibit deceit, misrepresentations, and other fraud in the sale of securities.
Mandatory Disclosures The Securities Act effectuates disclosure through a mandatory registration process in any sale of any securities. In reality, due to a number of exemptions (for trading on the secondary market and small offerings), the Act is mainly applied to primary market offerings by issuers.
Rule 139.16, the individual accredited investor exemption, exempts sales by the issuer itself, or by a registered dealer acting on the issuer's behalf, to individual accredited investors.
The Act provides for the registration of securities, registration of firms and individuals who sell securities or render investment advice, examination of registered firms, and enforcement of the Act through administrative, civil, and criminal actions.
Violations of the Act include such activities as: illegal sales of unregistered securities; sales of securities or the rendering of investment advice by unregistered persons; or fraud committed in connection with the sale of securities.
The Texas Securities Act is the state law regarding the regulation of the securities industry in Texas. The Act provides for the registration of securities offered or sold in Texas, and of firms and individuals who sell securities or render investment advice in the state.