Proxy Materials under Section 203(o)
Debt Securities of Nonprofits under Section 203(p)
Continuation of Section 205 Registration
Report on use of proceeds
Retroactive Registration of Investment Company Securities
SEC Form D
4(5) to 4(a)(5)
For 506 Filings, please submit a cover letter indicating your reliance on section 211(b)
of the 1972 Act, a copy of the Form D that was filed with the SEC and a check made
out to “Commonwealth of Pennsylvania” in the amount of $525.
Exemptions under Sections 203(d), 203(s), 203(t)
Securities Registration Form
Note: The department will only require the following issuers to file Form R:
Issuers relying on SEC Regulation A and filing under either Section 205 or 206
Issuers relying on Rule 504 of SEC Regulation D and filing under Section 206.
Issuers relying on Section 3(a)(4) of the 1933 Act and filing under Section 206.
Issuers relying on Section 3(a)(11) of the 1933 Act and filing under Section 206.
Small Company Offering Registration Form
Uniform Investment Company Notice Filing
Rescission Offer. Request for waivers of procedures under Regulation 504.060(b)
Takeover Disclosure Law
Finance Company Debt Securities Guidelines
Corporate Equity Guidelines