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Methods of Securities Registration

Dashboard > Registration of Securities and Issuers > Methods of Securities Registration

Methods of Securities Registration

There are three ways an issuer might go about registering its securities in states. They are:

(a) Notification. Issuers using this method must have a federal registration filed with the SEC. They basically tell (notify) the state that they have met all the requirements outlined by the state to register a security.

(b) Coordination. A joint venture between the SEC and the states. Basically, the SEC notifies all states in which the issue will occur. The state does nothing to dictate the form of...

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