Series 63: Notice Filings

Notice Filings

A notice filing is just 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 their jurisdiction. Most issuers would prefer this approach over all others, since it requires the least amount of hoops to be jumped through by simply:

1. 1. Submitting 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. Delivering copies of all amendments to the federal documents to the state administrator at the same time that they are submitted to the federal government
3. 3. Providing a repo