Series 65: 9.1.2.3.4 Registration By Filing

9.1.2.3.4  Registration by Filing

Registration by filing, also known as registration by notification, is an option for issuers that have previously registered the security with the SEC. If the issuer meets certain conditions, it may register on the state level by providing the state with certain basic information and documentation. What you need to know is that this type of filing is for established companies that have already registered a security with the SEC.

A security registered under the Securities Act of 1933 may register by filing only if the following conditions are met:

• The issuer is organized under U.S. laws, is organized under the laws of a state, or has an agent in the U.S. for service of process.

• The issuer has been in business in the U.S. for the past 36 months and has filed all SEC-required materials for the past 36 months.

• The issuer has a security regi