This program focuses on the scope and application of NHRSA 421-B (The NH Blue Sky statute):
The interaction between federal and state securities law
What constitutes a security
Tips to avoid common practice mistakes
When state securities registration requirements apply, and how to identify registration exemptions
The role of the ‘business broker’ in securities transactions
The regulators’ views on common mistakes by issuers and their counsel
This program is for attorneys who have a basic but not advanced knowledge of state and federal securities laws. There will be a broad introductory overview of the interplay between those laws to refresh the audience’s recollection.
Written materials are included.
3.25 Total NH MCLE, .5 of which may be applied toward NH Ethics