Securities Registration, Exemption and Notice Filings

Information by Registration, Exemption and Notice Filing Type

• Investment Company Notice Filings
• Registration by Coordination
• Registration by Qualification
• Regulation A, Tier 2 Notice Filings
• Regulation D (Rules 504 and 506); Section 4(a)(2) (formerly Section 4(2)) and Section 4(a)(5) (formerly Section 4(6)) Exemptions
• Small Corporate Offering Registration (SCOR)
• Other Securities Registration Exemptions and Notice Filings

Announcements:

• Connecticut Adds Online Filing Option for Unit Investment Trusts, effective January 4, 2021
• EFD Filing Option Available for Rule 506 Private Placements, effective November 2, 2020
• EFD Implementational Order