Series 65: Notice Filings

Notice Filings

A notice filing is a heads-up to a state’s Administrator that a federally covered security (more on these in a minute) will be offered for sale in its jurisdiction. Most issuers would prefer this approach over all others, since it requires the least amount of hoops to be jumped through. The steps are:

1. 1. Submit all the documents that are used to register the security on a federal level to the state’s securities Administrator prior to sale.
2. 2. Deliver copies of all amendments to the federal documents to the state Administrator at the same time that they are submit