The tables provided below include brief descriptions of each of the exemptions from registration available for the offer and sale of securities to residents of the State of Washington. The information contained therein is intended to provide general information regarding the exemptions available. It is not complete, and should not be relied upon in order to effect an actual offering or sale of securities. Please refer to the actual statute and related rules for complete information. If you have questions, please contact Faith Anderson at . Show
Exempt Transactions under RCW 21.20.320Exempt Securities under RCW 21.20.310Intrastate Crowdfunding under RCW 21.20.880 to .886Federal Covered SecuritiesExempt Transactions (RCW 21.20.320)
Exempt Securities (RCW 21.20.310)
Intrastate Crowdfunding (RCW 21.20.880 to .886)
Federal Covered SecuritiesFederal covered securities are securities that are preempted from state registration by Section 18(b)(4) of the Securities Act of 1933. However, you may be required to make a notice filing with the Securities Division to sell federal covered securities in Washington.
What is SEC Form SForm S-3 is the registration statement that the Securities and Exchange Commission (SEC) requires reporting company issuers to file in order to issue shelf offerings.
What is Form SForm S-1 is the registration statement that the Securities and Exchange Commission (SEC) requires domestic issuers to file in order to publicly offer new securities. That is, issuers file S-1s for initial public offerings (IPOs) and follow-on offerings of new securities.
What is form FSEC Form F-1 is the registration required for foreign companies that want to be listed on a U.S. stock exchange. Any amendments or changes that have to be made by the issuer are filed under SEC Form F-1/A. After the foreign issuer's securities are issued, the company is required to file Form 20-F annually.
What is an S 4 filing?Form S-4 is the registration statement that the Securities and Exchange Commission (SEC) requires reporting companies to file in order to publicly offer new securities pursuant to a merger or acquisition.
|