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Are There State Securities Laws?

Yes, the federal and state governments each have their own securities laws and regulations. If a company is selling securities, it must comply with both federal and state securities laws. If a particular offering is exempt under the federal securities law that does not necessarily mean that it is exempt from any of the state laws. Some states review small businesses' securities offerings to ensure that companies disclose to investors all information needed to make an informed investment decision. Other states also analyze public offerings using substantive standards to assure that the terms and structure of the offerings are fair to investors, in addition to the focus on disclosure.

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