80A.49 SECTION 301; SECURITIES REGISTRATION REQUIREMENT. It is unlawful for a person to offer or sell a security in this state unless: (1) the security is a federal covered security; (2) the security, transaction, or offer is exempted from registration under sections 80A.45 through 80A.47; or (3) the security is registered under this chapter. History: […]
80A.50 SECTION 302; FEDERAL COVERED SECURITIES; SMALL CORPORATE OFFERING REGISTRATION. (a) Federal covered securities. (1) Required filing of records. With respect to a federal covered security, as defined in Section 18(b)(2) of the Securities Act of 1933 (15 U.S.C. Section 77r(b)(2)), that is not otherwise exempt under sections 80A.45 through 80A.47, a rule adopted or […]
80A.51 SECTION 303; SECURITIES REGISTRATION BY COORDINATION. (a) Registration permitted. A security for which a registration statement has been filed under the Securities Act of 1933 in connection with the same offering may be registered by coordination under this section. (b) Required records. A registration statement and accompanying records under this section must contain or […]
80A.52 SECTION 304; SECURITIES REGISTRATION BY QUALIFICATION. (a) Registration permitted. A security may be registered by qualification under this section. (b) Required records. A registration statement under this section must contain the information or records specified in section 80A.53, a consent to service of process complying with section 80A.88, and, if required by rule adopted […]
80A.53 SECTION 305; SECURITIES REGISTRATION FILINGS. (a) Who may file. A registration statement may be filed by the issuer, a person on whose behalf the offering is to be made, or a broker-dealer registered under this chapter. (b) Status of offering. A registration statement filed under section 80A.51 or 80A.52 must specify: (1) the amount […]
80A.54 SECTION 306; DENIAL, SUSPENSION, AND REVOCATION OF SECURITIES REGISTRATION. (a) Stop orders. The administrator may issue a stop order denying effectiveness to, or suspending or revoking the effectiveness of, a registration statement if the administrator finds that the order is in the public interest and that: (1) the registration statement as of its effective […]
80A.55 SECTION 307; WAIVER AND MODIFICATION. The administrator may waive or modify, in whole or in part, any or all of the requirements of sections 80A.50, 80A.51, and 80A.52(b) or the requirement of any information or record in a registration statement or in a periodic report filed pursuant to section 80A.53(h). History: 2006 c 196 […]
