Regulation D Rule 506 U.S. State Blue Sky Chart State Alabama Materials Form D, Form U-2, Payee Address $300 Alabama Securities Commission Alabama Securities Commission 401 Adams Ave, Suite 280 Montgomery, AL 36104 Alaska Form D, $600 State of Alaska Securities Administrator Alaska Division of Banking and Securities 333 Willoughby Ave, 9th Floor State Office Building Juneau, AK 99801 Arizona Form D, $250 Arizona Corporation Commission Corporation Commission 1300 West Washington Third Floor Phoenix, AZ 85007 Form D must be manually executed. Optional to file copy of all documents distributed to offerees. Notice to be filed after termination of. Must indicate reliance on Rule 506 in cover letter. Attorney Advertising. Prior results do not guarantee a similar outcome. This material does not constitute legal advice and does not create an attorney-client relationship. There is no guarantee that the information provided in this chart is accurate. There are exemptions and exceptions available in some of these s not discussed herein. The chart was compiled in September 2015 and assumes that all investors who purchased securities in an are accredited investors. You should contact a securities attorney to ensure full compliance. www.fixeds.com
Materials Payee Address Arkansas Form D, California Form D, Form U-2, Colorado Cover Letter, Form D, Connecticut Delaware District of Columbia Florida Form D, Form U-2, Form D, Form U-2, U-2, There are no applicable blue sky filing requirements in the of Florida Arkansas Securities Department $300 California Department of Corporations Arkansas Securities Department 201 East Markham Street Suite 300 Little Rock, AR 72201 Department of Business Oversight Securities Regulation Division 1515 K Street, Suite 200 Sacramento, CA 95814 $50 Colorado State Treasurer 1560 Broadway, Suite 900 Denver, CO 80202 $150 Treasurer, State of Connecticut Department of Banking 260 Constitution Plaza Hartford CT 06103 State of Delaware Department of Justice 820 N. French Street, 5th floor Wilmington DE 19801 $250 D.C. Treasurer Securities Commission 810 First Street NE, Suite 701 Washington, DC 20001 No Form U-2 is required if Form D is electronically filed with SEC. No Form U-2 is required if Form D is electronically filed with SEC. Should include cover letter with brief description of applicable and federal citations. No Form U-2 is required if Form D is electronically filed with SEC. No Form U-2 is required if Form D is electronically filed with SEC. Cover letter should denote the date of District of Columbia and number of accredited and nonaccredited investors in DC and aggregate price of securities sold.
Materials Payee Address Georgia Form D, $250 Secretary of State Office of the Secretary of State 237 Coliseum Drive Macon, GA 31217-3858 Hawaii Form D, Form U-2, $100 Commissioner of Securities, State of Hawaii Department of Commerce and Consumer Affairs King Kalakaua Building 335 Merchant Street Honolulu, HI 96813 Idaho Cover Letter, Form D, Illinois Form D, $100 $50 Idaho Department of Finance Idaho Department of Finance Securities Bureau 800 Park Boulevard Suite 200 Boise, ID 83712 Secretary of State of Illinois Office of the Secretary of State Securities Department 421 E. Capitol Avenue 2 nd Floor Springfield, IL 627071 Indiana Form D None Indiana Office of the Secretary of State 302 West Washington, E-111 Indianapolis, IN 46204 Provide in cover letter date of Idaho Iowa Form D, Form U-2, $100 Insurance Commissioner of Iowa Insurance Division Securities Bureau 340 E. Maple Street Des Moines IA 50319 Kansas Form D, $250 Kansas Securities Commissioner Securities Commission 109 SW 9th St., Ste. 600 Topeka KS 66612-1215 Form D must be manually signed. Kentucky Form D, Form U-2, $250 Kentucky State Treasurer Department of Financial Institutions 1025 Capital Center Drive, Suite 200 Frankfort, KY 40601 Form D must be manually signed. No Form U-2 is required if Form D is electronically filed with SEC
Materials Payee Address Louisiana Form D, $300 Commissioner of Securities Securities Commission Office of Financial Institutions 8660 United Plaza Blvd. Suite 200 Baton Rouge, LA 70809 Maine Maryland Massachusetts U-2, U-2, Form D, Form U-2, Michigan Cover Letter, Form D, Minnesota U-2, $300 Treasurer, State of Maine 121 State House Station Augusta, ME 04333 $100 Office of the Attorney General Office of the Attorney General 200 Saint Paul Place Baltimore, MD 21202-2020 Commonwealth of Massachusetts One Ashburton Place, 17th Floor Boston, MA 02108 $100 State of Michigan Michigan Corporations, Securities & Commercial Licensing Securities Section 525 W. Allegan Street Lansing, MI 48909 State Treasurer Department of Commerce 85 7 th Place East, Suite 500 Saint Paul, MN 55101-2198 Cover letter should indicate the date of first sale in Maine. No Form U-2 is required if Form D is electronically filed with SEC. Cover letter shall indicate the first date of sale of securities in Maryland. Should provide a cover letter stating the date of the Michigan. Should provide a cover letter stating the aggregate amount of securities already sold or offered to persons in Minnesota.
Materials Payee Address Mississippi Form D, Form U-2, $300 Secretary of State Office of the Secretary of State Business Regulation & Enforcement Division 125 S. Congress Street Jackson, MS 39201 Missouri Cover Letter, Form D, $100 Missouri Secretary of State Missouri State Information Center 600 West Main Street Jefferson City, MO 65101 Must provide a cover letter stating the date on which the first sale of securities occurred in Missouri. Montana Form D, Form U-2, Montana State Auditor, Securities Commissioner Office of the State Auditor Securities Department 840 Helena Avenue Helena, MT 59601 Nebraska Form D, Form U-2,, State Appendix Page $200 Department of Banking and Finance Nebraska Securities Bureau Department of Banking & Finance 1526 K Street, Suite 300 Lincoln, NE 68508-2732 Nevada Form D, Form U-2, $500 Secretary of State Nevada Secretary of State 101 N Carson Street Suite 3 Carson City, NV 89701 New Hampshire U-2, $500 State of New Hampshire Bureau of Securities Regulation 107 North Main St. #204 Concord, NH 03301-4989 Must provide a cover letter indicating the date of the the. New Jersey Form D, Form U-2, $250 New Jersey Bureau of Securities Department of Law and Public Safety Bureau of Securities 153 Halsey St. 6th Floor Newark, NJ 07102 Must provide date of first sale in New Jersey in cover letter. Must file electronically through www.efdnasaa.org. New Mexico Cover Letter, Form D, $350 New Mexico Securities Division Regulation and Licensing Department Must provide date of first sale in New Mexico and number of investors in
Materials Payee Address 2550 Cerrillos Road, 3 rd Floor Santa Fe, NM 87505 New Mexico. New York There are no applicable blue sky filing requirements in the State of New York North Carolina Form D, Form U-2, $350 Office of the Secretary of State Department of Secretary of State 4701 Atlantic Avenue, Suite 116 Raleigh, NC 27626-0622 North Dakota Form D, $100 North Dakota Securities Department Ohio Form D, $100 Oklahoma Oregon Pennsylvania Form D, Form U-2, Form D, Form U-2, Cover Letter, Form D, Ohio Treasurer of State $250 Oklahoma Securities Department $525 State of Oregon Commonwealth of Pennsylvania Securities Commission 600 East Boulevard State Capitol, 5th Floor Bismarck, ND 58505-0510 77 South High Street 22nd Floor Columbus, OH 43215 Department of Securities 1st National Center, Suite 860 120 N. Robinson Oklahoma City, OK 73102 Department of Consumer & Business Services Div. of Finance & Corp. Securities 350 Winter Street, NE, Rm. 410 Salem, OR 97301-3881 Securities Commission Eastgate Office Building 1010 North 7th Street, 2nd Floor Harrisburg, PA 17102-1410 Must provide a cover letter that indicates reliance on Section 211(b) of the 1972 Act.
Materials Payee Address Puerto Rico Rhode Island Form D, Form D, Form U-2, $300 Secretary of the Treasury Department of Business Regulation Securities Division Office of the Commissioner of Financial Institutions Edif. Centro Europa Suite 600 1492 Ave. Ponce de Leon San Juan, PR 00907 Department of Business Regulation 1511 Pontiac Avenue Cranston, RI 02920 South Carolina Form D and $300 South Carolina Securities Commissioner Office of the Attorney General 1000 Assembly Street, Rm. 519 Columbia, SC 29201 South Dakota Form D, $250 Dept. of Revenue and Regulation 445 East Capitol Avenue Pierre, SD 57501-3185 Tennessee Form D, Form U-2, $500 Tennessee Department of Commerce & Finance Texas Form D, State of Texas Tennessee Attn: Securities Registration Section 500 James Robertson Parkway Nashville, TN 37243 State Securities Board 208 East 10th Street, 5 th Floor Austin, TX 78701 Utah Form D, $100 Department of Commerce 160 East 300 South, 2 nd Floor Salt Lake City, UT 84111 Vermont Form D, Form U-2, $600 Treasurer of State of Vermont Department of Banking, Insurance, Securities & Health Care 89 Main Street Montpelier, VT 05620-3101 Form D should be manually signed. A cover must be provided indicating the first date of sale to a Utah resident.
Materials Payee Address Virgin Islands U-2, $1,500 United States Virgin Islands, Division of Banking & Insurance 18 Kongens Gade Saint Thomas, VI 00802 United States Virgin Islands, Division of Banking & Insurance 18 Kongens Gade Saint Thomas, VI 00802 Must provide cover letter indicating Virgin Islands. Virginia Form D, $250 Treasurer of Virginia State Corporation Commission & Retail Franchising 1300 East Main Street Richmond, VA 23219 Washington Cover Letter, Form D, $300 Washington State Treasurer Department of Financial Institutions PO Box 9033 Olympia, WA 98507-9033 West Virginia Form D, Form U-2, $125 West Virginia State Auditor Office of the State Auditor 1900 Kanawha Boulevard East Building 1, Room W-100 Charleston, WV 25305 Must indicate date of first sale in Washington. Wisconsin Form D, Form U-2, $200 Office of Commissioner of Securities Department of Financial Institutions 201 W. Washington Avenue, Suite 500 Madison, WI 53703 Wyoming Form D, $200 Wyoming Secretary of State Wyoming Secretary of State's Office The Capitol Building 200 West 24th Street Cheyenne, WY 82002-0020