167. gov Antonia M. This means you can use their platform with confidence, knowing that they're on the up-and-up. NovaTech claims to be legally registered as Saint Vincent and the Grenadines, but we are unable to verify incorporation details. We offer high quality products designed to improve the customer's residential experience, with a range of architectural products for the residential market. Abstract：The latest news regarding NovaTech FX reveals a complete halt of all payouts since May 11th, marking the completion of an alleged exit scam. The Novatech Group’s development encompasses the pursuit of excellence, automation and. Canada currently ranks as NovaTech FX’s. There you can find out if your investment professional and his/her firm is licensed with the SEC, with a state (s), and/or with FINRA (the Financial Industry Regulatory Authority). com 's industry. e. Supporting Documents. We would like to show you a description here but the site won’t allow us. falsely representing that NovaTech is a registered hedge fund in the United States; b. I highly recommend you watch this video to learn about the new changes as of April 1,. It offers the full control of a sole proprietorship and the limited liability of a corporation. Toronto – The Canadian Securities Administrators (CSA) is warning the public that Nova Tech Ltd (NovaTech), which operates the website is not registered with a securities regulator in any province or territory in Canada. Vincent and the Grenadines. Amendment of One Person Corporation. The Canadian Securities Administrators (CSA) is warning the public that Nova Tech Ltd (NovaTech). The Canadian Securities Administrators (CSA) is warning the public that Nova Tech Ltd (NovaTech), which operates the website is not registered with a securities. Registered Firms / Individuals and Statistics - Securities and Exchange Commission. CIK Lookup. No. SEC Form Stock and Transfer Book (STB) B. The Securities and Exchange Commission today charged eight companies for failing to disclose in SEC Form 12b-25 filings that their request for seeking a delayed quarterly or annual reporting filing was caused by an anticipated restatement or correction of prior financial reporting. 1. The email addresses will not be shared with outside parties of the SEC. Is NovaTechFX registered with SEC? How much does it cost to start NovaTech? All these questions are answered in this NovaTech FX review. This video discusses how to submit a ticket and answers the question regarding Novatech registration. Ponzi schemes. The Temporary Order provided that: (a) all trading in any securities by or of NovaTech, or by any person on their behalf, shall cease; (b) the acquisition of any securities by NovaTech shall cease;Having registration or not, therefore, does not mean being authorized to provide financial services. record holders from the registration requirement. Who is Novatec? Novatec, Inc. Shortly after that investigation began, the SEC asked us if we would be interested in discussing a potential resolution that would include registering some portion of our business with the. NovaTech may have traded securities without registration and without an applicable exemption from the registration requirement contrary to s. Securities that are exempt from SEC registration include private offerings to a limited number of buyers, offerings of a limited size, intrastate offerings, and municipal, state and federal. Practically speaking the move means little but it’s the loudest acknowledgement of securities fraud yet. Its authorized share capital is Rs. Last known city and country of residence, or, the purported base of operation of each person or entity. Recently, the government of the People’s Republic of China provided new guidance to and placed restrictions on China-based companies raising capital offshore, including through associated offshore shell companies. Novatechfx has registered the domain name for novatechfx. Only qualified investors, or. Offerings exempt from the SEC’s registration requirements pursuant to Securities Act Section 4(a)(2) or its safe harbor under Regulation D of the. Forgot User name or password? Click this link. 8. Ontario Securities Commission (OSC) Date. The Novatech Group manufactures entrance doors, doorglass, patio doors and custom sealed glass. Philip Verges, James D. Starting 19 April 2021, new applications for registration of One Person Corporations, Corporations with 2-4. Accessibility & Disability. Novatech is not registered with the SEC - Securities and Exchange Commission and is therefore not subject to its regulations. Fun Fact: An offshore shell company never stopped the SEC from regulating securities fraud. Return in respect of buy back of securities Letter of Offer Notice of. On February 16th, the warning escalated to a temporary cease trading order by the OSC, turning up the heat on NovaTech FX’s Ponzi potluck. 2 million remained available for. Inquiries on Pending Applications/ Submission of Supplemental Requirements for Registrant Corporations with Less Than Five Incorporators (e. On its website NovaTech claims to be “registered in the USA, British Virgin Islands and Estonia”. February 10, 2023. Tokens sold in ICOs can be called many things. Board resolution attesting to particulars in the application; 3. com) is not registered with the Autorité des marchés. S. They received a public warning from the Canadian authorities, the Ontario Securities Commission (OSC). Yes. Corporation Finance;. Shelf registrations can ease the burden associated with the registration process by allowing one registration statement to register a. Speak with a Specialist: 866-488-2024. PCAOB-2003-03 (July 16, 2003)] (a)(v) Audit . Budget & Performance; Careers; Commission Votes; Contact; Contracts; Data Resources; Transparency. com was registered on. 2. The Securities Act of 1933 (the “’33 Act”) requires all offers and sales of securities to be registered with the SEC or to fit within an exemption from registration. , Aug. 501(2) when they offered securities in Wisconsin and made misrepresentations of material fact, including but not limited to the representations that NovaTech was registered as a hedge fund, broker-dealer, and investment advisor when it had never been registered in any of those capacities. So, to answer your question, yes – NovaTech is definitely legally registered. Sign In Here. To check the status of this licensee, visit Financial Services and Mortgage Lending Licensees Search. The SEC filed a second complaint alleging that Jonathan Tetreault violated the securities and broker-dealer registration provisions of the federal securities laws. They've got their ducks in a row and are committed to operating within the boundaries of the law. ca. 1 s. Q2: Is Novatech Registered With The SEC? Ans: The NovaTechFx is a product of the NovaTech Ltd Partnership. Registration status. tw. NovaTech FX is a cryptocurrency investment company with a MLM compensation plan attached that promises weekly passive returns. VDOM DHTML tml>. Novatech Finvest (india) Private Limited is a Private incorporated on 24 June 1994. NovaTech has never been registered with the Commission in any capacity and has never filed a prospectus with the Commission; 3. Any company may use Form S-1 to prepare a registration statement. Company Type For Profit. They continued to do so in the face of a cease trade order issued by the Ontario Securities Commission. The Commission also adopted related amendments to Rule 204-2, the books and records rule, and Form ADV, the investment adviser registration form. 13K subscribers. Section 4. O. “NovaTech Ltd. , Suite 20-100 New York, NY 10004-2616 Phone: 212-336-1100 E-mail: [email protected], the owner can also provide an authorization letter stating that the registered user is authorized by the owner. , Suite 20-100 New York, NY 10004-2616 Phone: 212-336-1100 E-mail: newyork@sec. EDGAR full text search. Your questions and business goals are important to us. 22, 2020 —. Topic(s): Securities Act of 1933, International Number: F-10 Description: Registration statement for securities of certain Canadian issuers (PDF) Last Updated: May 2019: SEC Number: SEC2292The SEC’s oversight of registered investment advisers includes an inspection programme carried out pursuant to the SEC’s authority to examine a manager’s books and records under section 204. Advisers who are exempt from investment adviser registration with the SEC must still comply with applicable state law. An issuer must register each offering of securities to the public on a 1933 Act registration statement unless an exemption from registration is available. Q2: Is Novatech Registered With The SEC? Ans: The NovaTechFx is a product of the NovaTech Ltd Partnership. 2. 2 Chung Ching South Road, Section 1, Taipei, Taiwan, ROC. To become registered, securities professionals are required to pass qualification exams to demonstrate competence in their particular. Securities and Exchange Commission. Unfortunately, NovaTech does not have any information about who owns or runs the company on its company pages at this time. The email addresses will serve as a means to send out the SEC Bulletin to its subscribers. This includes a list of any states to which the firm must provide a copy of its Form ADV (called a “notice filing”), and information about the firm’s filings with the states. The SEC will not let crypto companies “come in and register” – we tried. It’s becoming SEC Chair Gary Gensler’s rhetorical refrain to call on crypto firms to “come in and register” or face enforcement actions for securities violations. NovaTech FX investors are claiming the FBI audited and approved the suspected Ponzi scheme. NovaTech is Ponzi SchemeThey sold these securities without registration and without prospectus disclosure. C. This includes whether the firm is registered with the SEC or one or more states, and the effective date of the registration. generated via forex trading, neither NovaTech FX, Cynthia and Eddy Petion, or any of the above named promoters are registered with the SEC or CFTC. 13, 2023 —. 202 of this chapter). SEC Charges Kraken for Operating as an Unregistered Securities Exchange, Broker, Dealer, and Clearing Agency. SEC Registration in the Philippines. While the OSC’s investigation into NovaTech’s activities is ongoing, it appears NovaTech may be operating in breach of Ontario securities law, including provisions related to unregistered trading and the illegal. NovaTech, LTD. Securities and Exchange Commission as a “small entity compliance guide”. Previously, the following entities are under Group B category: Clearing agency and clearing agency as depository; and Stock and securities exchange/s and other Self- Regulatory Organizations. BBB File Opened: 2/15/1998. manufactures resin dryers. securities for sale in Texas at a time w hen the securities are not registered with or permitted by the Securities Commissioner. C. 2. Sounds a little bit too good to be true. An offering to 40 sophisticated investors. If the name is registered, a list of names will be displayed as shown below. This means they are not authorized to offer trading in securities to anyone located in the province. Manipulation of a security's price or volume. Visit the SEC website, create an account, and reserve a name. Issued By. SimilarWeb tracked over 2. Cover Sheet for Registration. The company subsequently registered the class securities under Section. Onique Campbell • Oct 13, 2022 Novatech Office Home Request Your Novatech Portfolio Is Novatech a Registered Hedge Fund? Consumer Notice: Is Novatech a Registered. Investment advisers to private funds must report on Form ADV general information about private funds that they manage, including basic organizational and operational information as well as information about the fund’s key service providers. NovaTech still committing securities fraud; check. Get GroupMe App and enjoy the full experience. g. Even if the offering is not subject to state registration or. SEC Form 12-1 ETF – Annex 1. . The OPC resolution MUST be signed by the single stockholder and Corporate Secretary under oath. You can contact the SEC’s Office of Investor Education and Advocacy (OIEA) by phone at 1-800-732-0330, using this online form, or via email at Help@SEC. gov. Yes. The U. The OSC. NovaTech has never been registered with the Commission in any capacity and has never filed a prospectus with the Commission; 2 . High-Yield Investment Programs. The subjects of these alerts are persons or companies who appear to be engaging in securities activities that may pose a risk to investors. Enforcement orders for Nova Tech Ltd. The Securities and Exchange Commission today proposed rule changes to enhance protections of customer assets managed by registered investment advisers. Receive Investor Alerts and Bulletins. According to the SEC’s complaint, since at least 2019, Coinbase has made billions of dollars unlawfully facilitating the buying and selling of crypto asset securities. NovaTech FX’s business model is presented. Basic Requirements. Date of experience: April 22, 2023NovaTech FX has been issued a securities fraud stop and desist by way of California’s Division of Monetary Coverage & Innovation (DFPI). This website uses cookies to ensure you get the best experience on our website. 00. GroupMe. Eddie Petion is not currently registered as a securities salesperson or broker-dealer in the state of Washington and has not previously been so registered. Thus, they can get these documents even beyond the customary 8:00 am to 5:00 p. NovaTech LTD is listed as the owner, through what appears to be a bogus incomplete address (Vatican City). SEC name reservation. The truth is that NovaTech is not regulated by any regulators. Also, it is said that the company’s founder was involved in some scams. The list is intended to assist the public and the securities industry in conducting due diligence. We urge BC residents to exercise caution when dealing with firms that are not registered to trade or advise in BC. DOCUMENTARY REQUIREMENTS FOR REGISTRATION OF CORPORATIONS AND PARTNERSHIPS. office hours on weekdays. NovaTech, a firm associated with AW S Mining, a crypto mining organization ordered to cease operations in Texas by the Securities Commissioner in. 5 million visits to NovaTech FX’s. g. B. The Securities and Exchange Commission today announced charges against 10 firms in their capacity as broker-dealers and one dually registered broker-dealer and investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications. The email addresses will serve as a means to send out the SEC Bulletin to its subscribers. The Securities and Exchange Commission has adopted new rules to improve the governance of all registered clearing agencies by. Massachusetts Business Search Step 2. htm (56. Forgot User name or password? Click this link. 41. Several institutions, including the Central Bank of Russia and California, also issued warnings against NovaTech FX. For a shareholder to sell securities (such as stock, bonds, equities) on the public stock market, the securities and sale need to be registered with the U. NovaTech is an unregulated forex broker registered in St. OPC Resolution stating the name of the single stockholder, corporate name, amended provision/s including the date and place of signing. is not registered to trade in, or advise on, securities or derivatives in BC. The basic form for registration statements—Form S-1. NovaTech FX Securities Fraud: California Threatens Legal ActionFree SignUp: Coach Marc: Now. Investment Company Act of 1940. 8, 2023 —. Here, you can consult CSA member investor alerts. Enter Username. Enter CAPTCHA. I can confirm NovaTech the MLM opportunity is not registered with the SEC in the US. SimilarWeb tracks the US as the largest source of traffic to NovaTech FX’s website (68%). Update May 3rd, 2023 – NovaTech FX Misses Securities Fraud Hearing, OSC Extends Temporary Order. NOVAPAY, LLC is an Inactive company incorporated on June 5, 2017 with the registered number L17000123159. C. Most ETFs are professionally managed by SEC-registered investment advisers. claims to be located in Florida and it also claims to offer trading services by an experienced team of traders. The final rule is designed to benefit investors and reduce the credit, market, and. The SEC also charged Bittrex, Inc. Securities industry professionals are required to register with provincial and territorial securities regulators where they do business. To be part of the entire opportunity, you must invest anywhere between $99 to $100,000. It's a red flag if they're not! You can also check out whether they’ve ever been in trouble with securities regulators. The company offers trading in forex pairs, commodities, indices, and stocks, using the MT5 trading platform. About The SEC. If you are a victim of NovaTechFX scam, file a complaint here and get help in fund recovery. CAPTCHA Security code. The new members may be contributing to the payouts of old members. l. Investment Advisers Act of 1940. 15, 2023 —. TORONTO, Feb. Investors should also be aware that the company has been accused of engaging in fraudulent activities and should be wary of any promises of high returns or other incentives. 5 million visits to NovaTech FX’s website in October 2022. ADMINISTRATIVE PROCEEDING File No. S. NovaTech Ltd. 06/11/2001. Lenexa, Kansas – 1 November 2023 – NovaTech Automation, a global leader in automation and control solutions, is excited to announce the successful acquisition of the TestSwitch LLC line of products. 3. If NovaTech FX wanted to operate legally, all they had to do was register with the SEC, Canada’s financial regulators and file periodic audited financial reports. m. C. During the course of the investigation, the Commission found evidence that NovaTech appeared to have traded securities without registration and without an exemption to the registrationWashington D. Novatechoffice is an informational inclusive website platform that is able to provide abundant resources such as calculators, generated portfolios, helpful content related to investment, crypto, stock, forex, trading, finance and more. Securities fraud is illegal regardless of the medium used to commit it (cryptocurrency, tulips, beanie babies etc. Some of the information collected in this filing is. Issued By. C. Exchange-traded funds (ETFs) are SEC-registered investment companies that offer investors a way to pool their money in a fund that invests in stocks, bonds, or other assets. 20 s. January 2010 - June 2023. Bronze Package – investment of $500 – $2499, $35 monthly fee. SEC Form Membership Book (MB)On November 24, 2020, the U. It expandedLack of authority body: The company needs to be registered with the Securities and Exchange Commission (SEC). (b) SEC Form 12-1 SRS (Simplified RS for Hospitals) 2. WHY COLLECT The collected email addresses will be utilized solely for the mailing list. So, overall, If you are looking for a detailed NovaTech FX review, then you are in the right place. l. Boolean and advanced searching, including addresses Search by:To prevent from being scammed, checking and verification of Primary SEC Registration and Secondary License of a company or corporation is a must. Not all SEC-registered investment advisers, however, are required to submit financial statements to the Commission. C. NovaTech FX has been issued a securities fraud stop and desist by California’s Division of Monetary Safety & Innovation (DFPI). S. Too. We have expanded on all of these issues in. gov, or by telephone at (202) 551-6825. As per the CBR’s August 9th warning, NovaTech FX exhibits “signs of an illegal professional participant in the securities market”. Note: Additional documents/information are required depending on the product availed via GCashPro. Washington D. << Please Click The Electronic Simplified Processing of Application for Registration of Company (SEC – ESPARC) is a facility to cater application for registration of One Person Corporation (OPC) and Domestic corporations (stock and non-stock) with 2 or more incorporators who may either be natural person, partnership,. The following year, it passed the Securities Exchange Act of 1934, which created the SEC. 2. remember me on this device. Is Novatech registered with the SEC? Novatech Ltd Partnership has not filed any forms with. Call (212) 330-8151 or send us a message to schedule a consultation. November 17, 2022. has been engaging in an international scheme to illegally sell fraudulent investments. 4. claims to be located in Florida and it also claims to offer trading services by an experienced team of traders. NovaTech is much more than a company delivering reliable trading services. Footnote: Here is the full communication NovaTech FX sent out to investors on February 5th; Dear Novatech Member, Since June of 2019 our focus at NovaTech has been to stimulate financial awareness, to a culture unaware of the amazing possibilities in the crypto and forex. By 2028, the SEC with its driven, highly-trained, agile and customer-centric team of professionals, equipped with digital technology and adaptive registration and data management systems, is the premier investor champion and catalyst of a deep, broad, sustainable and informed investor-based capital market and more empowered business. all trading in any securities by NovaTech, or any person on their behalf, shall cease; b. Investor Alerts. 11, 2023 in NovaTech FX. states and territories. The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. Ontario investors who have been approached by NovaTech or purchased its investment products should contact the OSC’s Inquiries and Contact Centre at 1-877-785-1555 or inquiries@osc. Christofer Shurian; Utah Regional Investment Fund LLC; CCS of Utah, Inc. The broker also provides customer support via email, phone, and. ph. They may need to be registered. This is the equivalent of a securities fraud warning in other jurisdictions. SimilarWeb tracked over 2. 12 KB) STAY CONNECTED 1 Twitter 2 Facebook 3 RSS 4 YouTube 6 LinkedIn 8 Email Updates. Documents signed abroad must be authenticated by the Philippine Embassy or Consulate in the country. Sign In Here. This company has not filled out any form with the SEC till now apart from the initial company registration. In the case of NovaTech FX, the allegations suggest that the company may have misled investors about the nature and safety of their investments, which is a grave violation of securities laws in many jurisdictions. NovaTech, a trading name of NovaTech LTD, is allegedly a forex broker founded in 2019 and registered in Saint Vincent and the Grenadines that claims to provide its clients with various tradable financial instruments with leverage up to 1:100 on the MT5 trading platform, as well as 24/7 customer support service. The Securities and Exchange Commission oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds in an effort to promote fair dealing, the disclosure of important market information, and to prevent fraud. Question 101. C. The primary purpose of the Securities Acts was to curb speculation and fraud in the markets. 00. The new rules and amendments are designed to protect private fund investors by increasing. c. NovaTech FX has been on a roll lately with the warnings and looks like Canada has issued a warning in the province of Alberta. 8818-5554 8818-8803FY 2017. 75 days if the investee is an accelerated filer; or. An idiosyncrasy of the federal securities laws is that the term “regulation” often refers to a collection of rules for example, Regulation S-K and Regulation SHO. Washington D. NovaTech Ltd. Brokerage services are offered through Robinhood Financial LLC, (RHF) a registered broker dealer (member SIPC) and clearing services through Robinhood Securities, LLC, (RHS) a registered broker dealer (member SIPC). 220 Jefferson Ridge Parkway, Lynchburg, VA 24501. This means they are not authorized to offer trading in any securities or derivatives to. NovaTech FX’s withdrawal problems follow a securities fraud warning issued by the British Columbia Securities Commission earlier this month. After keying your options, click the Search Corporations icon to generate your search results. May. The term "audit" means an examination of the financial statements, reports, documents, procedures, controls, or notices of any issuer, broker, or dealer by an independent public accounting firm in accordance with the rules of the Board or the. The enrollment process of all registered corporations/ partnerships will start on 15 March 2021. The email addresses will serve as a means to send out the SEC Bulletin to its subscribers. , Nov. The awareness marks the primary regulatory motion in opposition to NovaTech FX by way of a US regulator. Enter CAPTCHA. io” was registered. falsely representing that NovaTech is a registered investment adviser; c. Forgot User name or password? Click this link. has accepted funds from British Columbia (BC) residents. Since the start of 2021, the Securities and Exchange Commission (SEC) in the Philippines was able. Name. Any person who is selling restricted or control securities must comply with Rule 144 to be certain of the exemption from registration provided by Section 4 (a) (1) of the Securities Act. My friend put in $3200 and started making $100 a week from the get -go. NovaTech was established in July of 2019 and has been pa. On March 2, 2023, the Tribunal extended the TCTO. How long has Novatech been around? 7. The SEC Electronic Filing and Submission Tool (eFAST) is an online facility to be used for submitting the Audited Financial Statement (AFS), General Information Sheet (GIS), Sworn Statement for Foundations (SSF), General Form for Financial Statements (GFFS), Special Form for Financial Statement (SFFS) and other reportorial requirements. m. falsely representing that NovaTech is a registered investment adviser; c. SEC supports sustainable and clean energy, innovation and the implementation of new environmental friendly technologies that support the Saudi economy. For SEC-registration purposes, “foundation” means a non-stock, non-profit corporation established for the purpose of extending grants or endowments to support its goals, or raising funds to accomplish charitable,. , Robert F. Enter CAPTCHA. I can confirm NovaTech the MLM opportunity is not registered with the SEC in the US. gov | HOMEBrinen & Associates provides dedicated legal services for securities matters in a wide range of industries and works with clients to ensure SEC compliance. The Securities and Exchange Commission (the "Commission" or "SEC") regulates investment advisers, primarily under the Investment Advisers Act of 1940 (the "Advisers Act"), and the rules adopted under that statute (the "rules"). NovaTech, LTD Suite 305, Griffith Corporate Center PO Box 1510 Beachmont Kingstown, Saint George, VC01201140. E. com. The SEC Express System is an alternative mode of securing copies of Corporate or Partnership documents without having to personally come to the SEC. B. They've got their ducks in a row and are committed to operating within the boundaries of the law. We urge BC residents to exercise caution when dealing with firms that are not registered to trade or advise in BC. SEC Videos; Media Gallery; List of Companies. CAPTCHA Security code. " . NovaTech FX has added the US and Canada to its list of “restricted areas and regions”. Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Many reputable companies choose not to register with the SEC in order to avoid the costs and red tape associated with doing so. Page 2 of 10 1. Unfortunately, there are still firms that work without our authorisation. This means that irrespective of everything else, NovaTech is operating illegally in the US. Any security without a registration statement on file with the Securities and Exchange Commission (SEC) is considered "unregistered. CEO Cynthia Petion has endorsed the claim, affirming she personally received a copy of the “seven hundred page” audit. Forgot User name or password? Click this link. Securities and Exchange Commission (SEC) intends to sue stablecoin issuer Paxos, which is behind the Pax dollar (USDP) and Binance USD (BUSD) tokens, over the latter. Tengco said. Local and foreign investors that intend to establish corporations, partnerships or associations in the Philippines are required to register their business entities with the Securities and Exchange Commission (SEC) before they can conduct business activities and participate in the country’s securities market to buy or. 2017 – Limiting the Requirement for. TORONTO, Feb. Check our Financial Services Register to find out if a firm is authorised. It means that the website is Questionable. 95 per month after. , Feb. Full experience and technical expertise to fabricate process equipments. Done and done. Q2: Is Novatech Registered With The SEC? Ans: The NovaTechFx is a product of the NovaTech Ltd Partnership . The. - Jan 23, 2021 - Updated Jan 18, 2023 NovaTech is an offshore broker. So, to answer your question, yes – NovaTech is definitely legally registered. any exemption contained in Ontario securities law does not apply to NovaTech. The Commission has approved initial registration and annual IARD filing fees for investment advisers registered with the Commission or applying for registration with the Commission (see Release No. Notice to Members FYI March 2001. Their registration and good standing help reassure investors that the firms and individuals they deal with are properly qualified and that there are no disciplinary actions against them. The Securities and Exchange Commission today voted to adopt amendments to the financial disclosure requirements for guarantors and issuers of guaranteed securities registered or being registered in Rule 3-10 of Regulation S-X, and affiliates whose securities collateralize securities registered or being registered in Rule 3-16 of. (a) SEC Form 12-1, As Amended Prospectus Form used for registration of securities that are to be sold or offered pursuant to Section 8 and 12 of the Securities Regulation Code. falsely representing that NovaTech is a registered broker; d. l. failing to disclose that the offer or sale of NovaTech’s securities was not qualified in California; e. This email addresses are to be incorporated in the mailing list created for the SEC Bulletin. •. , Dec.