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State
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Agency Name
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Address - Mailing
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City/State/Zip - Mailing
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Address - Delivery
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City/State/Zip - Delivery
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Primary Examiner
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Phone
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Fax
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E-Mail
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Alternate Examiner
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Alternate Phone
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Alternate Fax
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E-Mail 2
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Registration Fees - SCOR
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Registration Fees - Reg A
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Financial Statements - SCOR
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Financial Statements - Reg A
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Issue-Dealer Registration
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Issuer Sales Agent Registration
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Exam Requirements
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Application Form - SCOR
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Application Form - Reg A
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Exhibits - SCOR
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Exhibits - Reg A
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Notes
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Alaska
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Division of Banking, Securites & Corporations
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P.O. Box 110807
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Juneau AK 99811-0807
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333 Willoughby Ave., 9th Floor
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Juneau AK 99811-0807
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Franklin T. Elder
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907-465-2521
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907-465-2549
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Terry_Elder@dced.state.ak.us
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Dennis Salveson
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907-465-2521
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907-465-2549
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Dennis_Salveson@dced.state.ak.us
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$600 ($500 of which is refundable) for one year, or $1,100 ($1,000 of which is refundable) if an automatic extension of one year is desired by the issuer at the time the initial registration application is filed.
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$600 ($500 of which is refundable) for one year, or $1,100 ($1,000 of which is refundable) if an automatic extension of one year is desired by the issuer at the time the initial registration application is filed.
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Reviewed or audited as required by NASAA Policy Statement Regarding Small Company Registrations
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Same as required by SEC.
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N/A
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Not required for officers that will not receive commission. If registration is neccesary, a form U-4 and a $75 fee must be submitted for each registered agent
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Up to 5 issuer sales agents may registered without passing as examination.
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SCOR Form, U-1, U-2, U-2A
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SEC Form 1-A, U-1, U-2, U-2A
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As required by Part I of the SCOR Issuer's Manual
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As required by the SEC
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Arizona
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Corporation Commission - Securities Division
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1300 West Washington, 3rd Floor
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Phoenix AZ 85007
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Same
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Same
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Susan Baker Toth
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602-542-0628
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602-594-7405
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sab@ccsd.cc.state.az.us
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$250
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.10% of maximum aggregate offering price to be offered in AZ. Min. = $200; Max. = $2,000
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Reviewed or audited as required by NASAA Policy Statement Regarding Small Company Registrations
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Audited, as required by ARS 44-1894(A)(9) and (10)
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Yes. Form BD & $100 fee. Request instruction sheet from Division.
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Not required for bona fide executive officers and partners of the issuer. Other persons engaging in sales activity must register.
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Yes, Series 63 and relevent product exam, if registration is required. Exam requirements may be waived based on business experience.
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SCOR Form, U-1, U-2, U-2A
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SEC Form 1-A, U-1, U-2, U-2A
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As required by Part I of the SCOR Issuer's Manual
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As required by the SEC
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Colorado
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Division of Securities
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1580 Lincoln, Suite 420
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Denver CO 80203
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SAME
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SAME
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Henry Withers
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303-894-2320
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303-861-2126
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henry.withers@dora.state.co.us
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Sheryl Lemon
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303-894-2320
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303-861-2126
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sheryl.lemon@dora.state.co.us
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$100
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$75 Exemption Notice Fee (Colorado does not require registration on Reg A offerings)
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Reviewed or audited as required by NASAA Policy Statement Regarding Small Company Registrations
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Same as those required by the SEC
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N/A
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Not required for Issuer Agents that will not receive commission
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No exams required for issuer agents that do not receive commissions
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SCOR Form; CO Forms RQ, B, and C; Form U-2, U-2A
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SEC Form 1-A
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As required by Part I of the SCOR Issuer's Manual
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As required by the SEC
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All checks should be made payable to the Colorado State Treasurer
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Idaho
|
Securities Bureau
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P.O. Box 83720
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Boise ID 83720-0031
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700 West State St, 2nd Floor
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Boise ID 83720
|
Nancy Ax
|
208-332-8076
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208-332-8099
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nax@fin.state.id.us
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Patty Highley
|
208-332-8077
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208-332-8099
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phighley@fin.state.id.us
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$300
|
$300
|
Reviewed or audited as required by NASAA Policy Statement Regarding Small Company Registrations
|
Same as required by SEC
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N/A
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Yes - Form U-4 and $20 for each salesperson
|
Exam requirement waived for up to 2 issuer agents that are also officers of the issuer.
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SCOR Form, U-1, U-2, U-2A, Form D
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SEC Form 1-A, U-1, U-2, U-2A
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As required by Part I of the SCOR Issuer's Manual and IC 30-1423
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As required by the SEC
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Montana
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Office of the State Auditor, Securities Department
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P.O. Box 4009
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Helena MT 59604
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126 North Sanders, Room 270
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Helena MT 59604
|
Fiona Harpster
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406-444-2040
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406-444-5558
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fharpster@mt.gov
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Lynne Egan
|
406-444-2040
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406-444-5558
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legan@mt.gov
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$200 for the 1st $100,000 to be offered in Montana plus .10% of the remainder
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$200 for the 1st $100,000 to be offered in Montana plus .10% of the remainder
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Reviewed or audited as required by NASAA Policy Statement Regarding Small Company Registrations
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Same as those required by SEC
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N/A
|
Yes. Form U-4 and $50.
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None.
|
SCOR Form, U-1, U-2, U-2A
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SEC Form 1-A, U-1, U-2, U-2A
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As required by Part I of the SCOR Issuer's Manual
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As required by the SEC
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Nevada
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Securities Division
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555 E. Washington Ave., Suite 5200
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Las Vegas NV 89101
|
Same
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|
Ed Apenbrink
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702-486-2440
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702-486-2452
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nvsecurities@prodigy.net
|
Bob Bevill
|
702-486-2440
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702-486-2452
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nvsecurities@prodigy.net
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.10% of amount to be offered in NV. Min. = $350
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.10% of amount to be offered in NV. Min. = $350; Max. = $2,500
|
Reviewed or audited as required by NASAA Policy Statement Regarding Small Company Registrations
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Audited financial statements are required pursuant to NRS 90.490(q)
|
N/A
|
Yes. Form U-4 and $55.
|
Series 63.
|
SCOR Form, U-1, U-2, U-2A
|
SEC Form 1-A, U-1, U-2, U-2A
|
As required by Part I of the SCOR Issuer's Manual
|
As required by the SEC
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|
New Mexico
|
Securities Division
|
P.O. Box 25101
|
Sante Fe NM 87504
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725 St. Michaels Drive
|
Sante Fe NM 87501
|
Terri Orton
|
505-827-7140
|
505-984-0617
|
nmsecd@nm-us.campus.mci.net
|
John Martinez
|
505-827-7140
|
505-984-0617
|
nmsecd@nm-us.campus.mci.net
|
.10% of amount to be offered in NM. Min. = $350;
|
.10% of amount to be offered in NM. Min. = $350; Max. = $2,500
|
Reviewed or audited as required by NASAA Policy Statement Regarding Small Company Registrations
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Audited
|
N/A
|
Not required for Issuer Agents in SCOR offerings that will not receive commission
|
No exams required for issuer agents that do not receive commissions.
|
SCOR Form, U-1, U-2, U-2A
|
SEC Form 1-A, U-1, U-2, U-2A
|
As required by Part I of the SCOR Issuer's Manual
|
As required by the SEC
|
ortonnm@ix.netcom.com
|
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Oregon |
Division of Corporate Securities
|
PO Box 14610
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Salem, OR 97309-0445
|
350 Winter Street NE, Room 410
|
Salem, OR 97301-3881
|
Dave Weiss
|
503-947-7169
|
503-947-7862
|
david.t.weiss@state.or.us
|
Jason Ambers
|
503-947-7169
|
503-947-7862
|
jason.e.ambers@state.or.us
|
OAR 441-065-0001(1): 1/10 of 1% of the amount offered in Oregon, with a minimum fee of $200 and a maximum fee of $1500
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OAR 441-065-0001(1): 1/10 of 1% of the amount offered in Oregon, with a minimum fee of $200 and a maximum fee of $1500.
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Reviewed or audited as required by NASAA Policy Statement Regarding Small Company Registrations.
|
Contact the Division of Finance and Corporate Securities
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N/A
|
Yes - Form U-4 and $15 for each issuer agent
|
No exams required for issuer agents
|
SCOR Form
|
SEC Form 1-A, U-1
|
As required by Part I of the SCOR Issuer's Manual
|
Contact the Division of Finance and Corporate Securites
|
OAR 441-11-0040(3)(a) states that an application for registration of securities pursuant to ORS 59.065, other than limited partnership interests, shall include audited financial statements if the aggregate offering price exceeds $500,000.
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|
Utah |
Division of Securities
|
P.O. Box 146760
|
Salt Lake City UT 84114-6760
|
160 East 300 South, 2nd Floor
|
Salt Lake City UT 84111
|
Joel Nelson
|
801-530-6600
|
801-530-6980
|
jnelson@br.state.ut.us
|
Mark Snyder
|
801-530-6600
|
801-530-6980
|
msnyder@br.state.ut.us
|
$300
|
$750
|
Reviewed or audited as required by NASAA Policy Statement Regarding Small Company Registrations. (Audited Statements required for non-regional review offerings)
|
Same as those required by the SEC.
|
N/A
|
Yes - Form U-4 and $45 for each salesperson
|
Series 63. May be waived at the discretion of the Division for officers and directors that do not receive commissions
|
SCOR Form, U-1 (if non-regional review, then substitute UT Form 10-2-1), U-2, U-2A
|
SEC Form 1-A, U-1, U-2, U-2A
|
As required by Part I of the SCOR Issuer's Manual, UT statute 61-1-10, & UT rule R164-10-2
|
As required by the SEC
|
|
|
Washington
|
Securities Division
|
P.O. Box 9033
|
Olympia WA 98507-9033
|
150 Israel Road
|
Tumwater
WA 98501 |
Bill Beatty
|
360-902-8760
|
360-586-5068
|
bbeatty@dfi.wa.gov
|
|
360-902-8760
|
360-586-5068
|
fwelsh@dfi.wa.gov
|
$100 for the 1st $100,000 to be offered in Washington plus .05% of the remainder
|
$100 for the 1st $100,000 to be offered in Washington plus .025% of the remainder
|
GAAP financial statements with appropriate footnotes. No review or audit required. Compilation by CPA strongly recommended.
|
Same as those required by the SEC, except that if the offering exceeds $1,000,000, such statements shall be audited
|
N/A
|
Yes - Form U-4 and $40 for each salesperson
|
No exams required for issuer agents that do not receive commissions
|
SCOR Form, U-1, U-2, U-2A
|
SEC Form 1-A, U-1, U-2, U-2A
|
As required by Part I of the SCOR Issuer's Manual
|
As required by the SEC
|
|
|
Wyoming
|
Thomas Cowan
|
200 W 24th St Room 109
|
Cheyenne WY 82002-0020
|
Same
|
Same
|
Tom Cowan
|
307-777-5348
|
307-777-5339
|
tcowan@missc.state.wy.us
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