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Corporate & Securities Law

: Jim Hamilton's World of Securities Regulation

UTAH Updates Stock Exchange Names

By Jim Hamilton

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The names of the national stock exchanges for purposes of exemption were updated by the Utah Securities Division to reflect current federal securities law. Securities listed on the New York Stock Exchange, NYSE Amex Equities, NASDAQ Global, NASDAQ Global Select, NASDAQ Capital Market, Chicago Board Options Exchange or Philadelphia Stock Exchange are exempt from registration. Securities listed on the Chicago Stock Exchange or Tier II of the Philadelphia Stock Exchange are exempt from registration but only for nonissuer transactions effected by or through a licensed broker-dealer.

Full post as published by Jim Hamilton's World of Securities Regulation on September 09, 2010 (boomark / email).

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