Chapter 11: Blue Sky Qualification
§ 11.1  General
§ 11.2  Secondary Trading Under the Blue Sky Laws
§ 11.3  Securities Registration Requirements
§ 11.3.1  Covered Securities
§ 11.3.2  Filing Requirements
§ 11.3.3  State Regulation for Securities Other Than Covered Securities
§ 11.4  State Exemptions
§ 11.5  State Regulation of Broker-Dealers
§ 11.6  Civil Litigation Under State Law
§ 11.7  Discussion of Colorado Law
§ 11.7.1  Overview of the Colorado Securities Act
§ 11.7.2  Enforcement of the Colorado Securities Act
§ 11.7.3  Civil and Criminal Enforcement Actions
§ 11.7.4  Cease and Desist Authority
Commencement
The Hearing Process
The Cease and Desist Order
Appeal of the Order
§ 11.7.5  Registration Requirements and Exemptions
Registration Requirements
Exemptions
Interplay Between State and Federal Law
§ 11.7.6  Rescission Offer
§ 11.8  Other States
Appendix: Blue Sky Memorandum
FEDERAL SECURITIES LAW COMPLIANCE – Securities Act of 1933 (the “1933 Act”) and the Securities Exchange Act of 1934 (the “1934 Act”)
STATE SECURITIES LAW COMPLIANCE
Summary Table
Specific State-by-State Discussion