Little known fact … If you own shares in a private company or crypto asset securities and you (or the company) want to sell them, then you need to consider Federal and State securities laws as well as the rules and restrictions that may exist on those shares by the issuing company. If you wish to list these shares on an Alternative Trading System (aka secondary market), the exchange must be approved by Regulators as well. The trading of securities in a secondary market is regulated by each State. So if you have shares in a company, digital securities, ICO tokens or NFTs, the most efficient way to be exempt from filing in each State is to disclose information about your company, your financials, the offering, the security and more. This information needs to be filed in each state. Noncompliant issuers risk cease and desist orders or even worse. GUARDD Secondary Transfer Disclosure helps you be compliant with the differing laws in all 50 States. Our simple solution allows you to enter the required information to keep you compliant and create a report that goes to all 50 States.

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How Can I Sell the Shares I Bought?

Selling private company securities isn't straight forward. An investor needs to know whether or not his or her securities are unrestricted and freely transferable. On top of that, issuers may need to provide current and ongoing company and financial information so buyers can make an informed decision. In this white paper we dig into the intricacies of how state Blue Sky laws impact secondary trading, what the existing exemptions are that allow for it, and how to allow for investor liquidity by complying with the Manual Exemption.

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When it comes to Blue Sky compliance for secondary transfers there aren’t many options; GUARDD or OTC Markets. OTC Markets is a comprehensive solution for issuers that wish to list on OTC Markets. While that has many benefits, it means you pay for all their services. For issuers that don’t wish to list on OTC Markets but need Blue Sky compliance for secondary transfer there is GUARDD. WIth GUARDD you can list your securities on any ATS at a fraction of the cost.

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Everyone should read this op-ed by SEC Chair Gensler. To summarize, any crypto that trades needs to be regulated, including the intermediaries that facilitate it. DM us to schedule a time to discuss a compliant pathway.

GUARDD is all about keeping investors informed through ongoing disclosures. We are the private market solution that can enable secondary trading of exempt securities. Contact us for our Blue Sky services and more!

The full realization of secondary trading of private securities is still a few years away. Today all the plumbing is in place (including GUARDD) to facilitate a robust marketplace. It is nice to see that @YahooFinance sees it as well! You can actually do it today! DM us!

Create a marketplace for #NFTs? There is a way to do it within the existing securities laws that can enable legitimate trading of #crypto assets. check this out:

As #crypto intermediaries come into jeopardy with regulators, they will begin to pull back as Tzero did. However, if #crypto securities issuers just used an exemption that allowed them to issue security tokens, secondary trading could be a feature w/o issue for intermediaries

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