State Filings

Using the link below to find the appropriate regulator – locate the State you are going to sell securities in and call the person responsible for registration and licensing. They will tell you what forms have to be filed and the State restrictions on the type of offering you are marketing. It is imperative that you call and check State regulations before marketing or selling securities to investors residing in that State.

Contact information on State Securities Regulators is located at the NASAA services site here:

http://www.nasaa.org/about-us/contact-us/contact-your-regulator/

For 506 based offerings it is possible to electronically remit your filings and fees to the State regulators through:

 https://www.efdnasaa.org/Account/Register?ReturnUrl=%2fFILERS%2fFilerHome