Securities Registration Exemption and Notice Filing Information

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Securities Registration, Exemption and Notice Filings

Information by Registration or Exemption Type

Registration by Coordination

Registration by Qualification

Small Corporate Offering Registration (SCOR)

Investment Company 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

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