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If you think you got a question wrong, just move on. Nobody likes a wallower. Well, except other buffalo, that is.

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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