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If I could hold a pencil, I'd mark up those reading passages like it was going out of style. Do it for the buffalo, man. Do it for me.

More Exemptions

As an agent, you don't have to register

  • in a state where you don't have an office or where you don't interact with individual investors. 
  • if you do business with a client who is a resident of your state but travels to another state and discusses your securities offer there, as long as the client doesn't stay beyond 30 days. 
  • if you interact with institutional investors in a state, such as issuers of securities involved in the transactions, pension or profit-sharing trusts, investment companies...

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