DOB: Securities Registration, Exemption and Notice Filing Information

Securities Registration, Exemption and Notice Filings
Information by Registration or Exemption Type

 

Registration by Coordination


Registration by Qualification


Small Corporate Offering Registration (SCOR)


Investment Company Notice Filings


Regulation D (Rules 504, 505 and 506); Section 4(a)(2) (formerly Section 4(2)) and Section 4(a)(5) (formerly Section 4(6)) Exemptions


Other Securities Registration Exemptions and Notice Filings