The tables provided below include brief descriptions of each of the exemptions from registration available for the offer and sale of securities to residents of the State of Washington. The information contained therein is intended to provide general information regarding the exemptions available. It is not complete, and should not be relied upon in order to effect an actual offering or sale of securities. Please refer to the actual statute and related rules for complete information. If you have questions, please contact Faith Anderson at . Show
Exempt Transactions under RCW 21.20.320Exempt Securities under RCW 21.20.310Intrastate Crowdfunding under RCW 21.20.880 to .886Federal Covered SecuritiesExempt Transactions (RCW 21.20.320)
Exempt Securities (RCW 21.20.310)
Intrastate Crowdfunding (RCW 21.20.880 to .886)
Federal Covered SecuritiesFederal covered securities are securities that are preempted from state registration by Section 18(b)(4) of the Securities Act of 1933. However, you may be required to make a notice filing with the Securities Division to sell federal covered securities in Washington.
Which of the following are exempt securities under the Uniform Securities Act?The Uniform Securities Act (USA) explicitly names the following as securities exempt from state registration:. US government securities.. Canadian government securities.. National foreign government securities.. Bank securities.. Insurance company securities.. Railroad, common carrier, and public utility securities.. Which act can be used to coordinate a securities registration filing under the provisions of the Uniform Securities Act quizlet?Answer is D. The Securities Act of 1933 regulates the federal registration of newly issued securities. Under the Uniform Securities Act, in order to register a security using registration by coordination, the security must also be registered with the SEC under the Securities Act of 1933.
Which of the following are defined as persons under the Uniform Securities Act?(15) “Person” means an individual, a corporation, a limited liability company, a partnership, a limited partnership, a limited liability partnership, an association, a joint-stock company, a trust where the interests of the beneficiaries are evidenced by a security, an unincorporated organization, a government or a ...
Which of the following would be defined as a sale or offer under the Uniform Securities Act?Which of the following would be defined as a "sale" or "offer" under the Uniform Securities Act? is a contract to sell a security, or an interest in a security, for value.
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