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Securities

Securities

Electronic Filing Guidance

Filing requirements have changed in recent years, especially as more filers work remotely. This page offers guidance for electronic filers, based on current Securities Division policy.

These guidelines are subject to change.

Signature Formats

We accept manually signed documents, electronically signed documents, and copies of documents (including PDF copies) bearing signatures or evidence of electronic signatures.

Notarizations

We accept in-person or remote notarization for the following forms:

  • Forms connected to securities registration applications
  • Exemption filings
  • Securities notice filings
  • Consent to service of process forms
  • Any related corporate resolutions

Filing Declaration

Once we receive a document through any acceptable method, we’ll deem it filed.

For filings made through the North American Securities Administrators Association (NASAA) Electronic Filing Depository system (EFD), we’ll considered the documents filed once the EFD receives them.

Paying Filing Fees

You can pay filing fees by check, money order, or wire transfer. Payments must be in U.S. dollars. We may issue a penalty and invalidate the filing if any check or payment is returned for insufficient funds.

Wire Transfers

If you want to pay your filing fees by wire transfer, contact us via email at for wire transfer instructions. Include the words “wire transfer instructions” in the subject line.

In your wire transfer, you’ll need to identify the person or organization sending the payment, and the relevant filing for the payment.

You can add this information in the "Additional Information for Recipient" field on the wire transfer, or include the issuer/filer name in the "Beneficiary" section.

When issuing a wire transfer, you’ll need to tell us which filing corresponds with the transfer. You can do this via email to . In your email, include the following:

  • A description of the type of filing in the email subject line. You may request read receipts in your emails.
  • A copy of the filing (with any uniform state forms, SEC forms, cover letters, and related materials)
  • The identity of the filing person or organization
  • The date of the wire transfer, and the amount paid
  • The applicable Massachusetts law or regulation
  • A unique reference number for the wire transfer payment

Confirming Filing Fees Types

We ask that you make sure that filing fees are correct. For any wire transfer payment, don’t mix investment company filings with other kinds of filings (e.g. registration or exemption filings).

You can use manual and electronic signatures when filing via email, as well as in-person or remote notarization.

EFD Filing for Rule 506 and UIT Notice Filings

We accept Form D filings and fees, as well as notice filings for Unit Investment Trusts (UITs), through the Electronic Filing Depository (EFD). EFD is available at: www.efdnasaa.org.

EFD is an online system, developed by NASAA, that allows an issuer to submit a Form D for a Regulation D, Rule 506 offering to state securities regulators and pay related fees. The EFD also enables the public to freely search Form D filings made with state securities regulators.

While we encourage filers to use the EFD system, you can still file manually or by email.

Note that EFD requires filers to first complete their filings with the Securities and Exchange Commission through the EDGAR system.

Contact with any filing questions. Indicate in your subject line that the email relates to a question.