Notice Under Section 207(J) of The Pennsylvania Securities Act of 1972 is a type of notice that must be filed with the Department of Banking and Securities by every issuer, broker-dealer, and/or investment adviser in the state of Pennsylvania. It is a disclosure requirement that must be met in order to conduct business in the state of Pennsylvania. There are two types of Notice Under Section 207(J) of The Pennsylvania Securities Act of 1972: a Notice of Registration and an Initial Notice. A Notice of Registration must be filed by any issuer, broker-dealer, and/or investment adviser in the state of Pennsylvania that is attempting to register securities, register as a broker-dealer, or register as an investment adviser. It must include information such as the names of all directors, officers, and beneficial owners of the company, as well as any existing relationships with other registered companies. An Initial Notice must be filed by any issuer, broker-dealer, or investment adviser in the state of Pennsylvania that is attempting to offer securities, conduct business as a broker-dealer, or conduct business as an investment adviser. It must include information such as the name of the company, the name of the principal executive officer, the name of the registered representative (if applicable), and any additional information the Department of Banking and Securities may request. Both types of Notice Under Section 207(J) of The Pennsylvania Securities Act of 1972 must be filed with the Department of Banking and Securities in order to comply with the state’s disclosure requirements. Failure to file the appropriate Notice may result in a fine, suspension of business, or other penalties.
Notice Under Section 207(J) of The Pennsylvania Securities Act of 1972
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How to fill out Notice Under Section 207(J) Of The Pennsylvania Securities Act Of 1972?
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