WV

West Virginia Blue Sky Laws

West Virginia regulates securities under the West Virginia Uniform Securities Act, enforced by the Securities Division of the State Auditor's Office. West Virginia adopted the Uniform Securities Act and requires registration or exemption for securities offered or sold in the state.

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Donald Hateley, Of Counsel for securities law at Acquisition Stars

Donald Hateley

Of Counsel, Securities Law | Acquisition Stars

Donald Hateley serves as Of Counsel to Acquisition Stars for securities law matters. His background includes advising public and private companies on securities transactions, corporate finance, and corporate governance, including public and private equity and debt financings. Admitted to the California bar in 1993, he is a graduate of the University of Southern California Marshall School of Business and Southwestern Law School.

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West Virginia Securities Regulatory Overview

Regulatory Body
West Virginia State Auditor's Office, Securities Division
Primary Statute
West Virginia Uniform Securities Act (W. Va. Code 32-1-101 et seq.)

Registration Requirements

West Virginia allows registration by coordination, qualification, or notice filing. Reg D Rule 506 offerings require Form D notice filing. Filing fee is $250.

Key Provisions of West Virginia Securities Law

Understanding the core regulatory framework in West Virginia:

1

Securities must be registered before offer or sale unless exempt

2

West Virginia adopted the Uniform Securities Act

3

Anti-fraud provisions apply to all securities transactions

4

The Securities Division has investigative and enforcement authority

Available Exemptions in West Virginia

West Virginia provides the following exemptions from full securities registration:

  • Federal covered securities with notice filing
  • Isolated nonissuer transactions
  • Sales to institutional investors
  • Limited offering exemptions
  • Government securities

Penalties for Non-Compliance in West Virginia

West Virginia imposes civil penalties, criminal penalties including fines and imprisonment, investor rescission rights, and administrative sanctions.

How West Virginia Blue Sky Laws Affect Your Transaction

Transactions involving West Virginia-based shareholders require compliance when stock is part of the deal consideration. Acquisition Stars works with securities counsel on West Virginia filings for multi-state transactions.

Need Help With a West Virginia Securities Transaction?

Acquisition Stars handles M&A transactions nationwide and works with securities counsel on blue sky compliance and securities offerings. Senior attorney Alex Lubyansky provides direct counsel on every M&A engagement. We tell you who would handle your matter before any introduction, and you decide whether to proceed.

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Need Help With a West Virginia Securities Transaction?

Submit your transaction details for a preliminary assessment. We help with the M&A side of the transaction and work with securities counsel on multi-state filings for Reg D, Reg A+, and Reg CF offerings involving West Virginia.

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Frequently Asked Questions

Common questions about West Virginia blue sky laws and securities compliance

What is West Virginia's Reg D filing fee?
West Virginia charges $250 for Reg D Rule 506 notice filings.
Who regulates securities in West Virginia?
The Securities Division of the State Auditor's Office enforces West Virginia's securities laws.
Does West Virginia follow the Uniform Securities Act?
Yes. West Virginia adopted the Uniform Securities Act.

Blue Sky Laws in Nearby States

Virginia Blue Sky Laws VA
Ohio Blue Sky Laws OH
Kentucky Blue Sky Laws KY
Pennsylvania Blue Sky Laws PA
Maryland Blue Sky Laws MD
View all 50 state blue sky law guides →

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Need Help With Securities Compliance in West Virginia?

Our managing partner provides selective M&A counsel and works with securities counsel on transactions involving West Virginia blue sky law compliance. Submit your transaction details for a preliminary assessment.

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