Blue Sky Compliance Services


Every state has its own securities laws- commonly known as "Blue Sky Laws"- that are designed to protect investors against fraudulent sales practices and activities. While these laws can vary from state to state, most states laws typically require companies making small offerings to register their securities before they can be sold in a particular state. The laws also license brokerage firms, their brokers, and investment adviser representatives.

Compliance with Blue Sky laws will enhance trading volume and marketability. National broker dealer firms like Smith Barney, Raymond James and Merrill Lynch will not trade in securities that are not Blue Sky’d. All 50 states require annual regulatory compliance, we can provide exemptions for nearly 75% and we can prepare documents to file in the states where exemptions don’t apply.

Private Offerings: Regulation D filings (Learn more about Form D)
Public Offerings: IPOs’s, Reg A
Secondary Trading: Exemption research and states filing services
Fund Annual Maintenance: Annual Blue sky filings and updates