Description

Form D and State Blue Sky Filing Service

We will file your SEC Form D in EDGAR and your Initial State Blue Sky filing in the NASAA EFD filing system.

Form D Filing Service

We help you obtain EDGAR access and a CIK code through the SEC’s EDGAR Next Filing System and then complete your Form D filing.

Once we receive the CIK code, the service is typically completed within 1-2 business days.

Please note, the SEC is currently taking one to two weeks to process the Form ID and send the CIK code.

To start the filing process, you will need to fill out the EDGAR Access Form using the link on the Services and Pricing page. We use this to create the online Form ID and send you a copy to sign and notarize. Once you scan the notarized copy you can email it to us.

Once the SEC approves the Form ID we can file the Form D.

We will also create a draft Form D for you and send it to you for review prior to filing. In order to create the draft Form D you will need to fill out the Form D Questionnaire, which is also linked on the Services and Pricing page, just click the Access Forms button under the SEC Form D Filing Service.

Note: this service includes one (1) filing.

Electronic Blue Sky Filing Service (for States using EFD)

-INITIAL BLUE SKY NOTICE FILING SERVICE FOR STATES USING EFD: RULE 506 OFFERINGS ONLY-

This service is for RULE 506(b) and (c) offerings only. RULE 504 filings are not allowed in the NASAA EFD system.

Our Initial Blue Sky Filing includes setting up your offering on EFD and filing any states you have already received funds from investors. When you need to add other states you can order amendments from our website.

NOTE: Florida does not require you to do a notice filing for a Rule 506 offering. Also New York requires the use of EFD for all filings except Real Estate Securities which still require the use of a Form 99 and to be mailed. You will need to contact the New York Real Estate Bureau for how to file a Real Estate syndication in New York.

PROCESS
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To start the filing process, you will need to download and fill out the Investor Tracking Spreadsheet using the link on the Services and Pricing page. The information needed for filing is the State, Date of First Sale, Number of Investors and Amount Invested. You can also download the current State Fee matrix so you can estimate your fees as well as an ACH Authorization for making he state fee payments.

This service is typically completed within 1-3 business days once we receive your information.

Note: Currently the NASAA EFD system only accepts payments for state filing fees using an ACH transaction.