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Securities

Notice for Corporate Finance Filers — Remote Filing

April 16, 2020 (Revised January 6, 2025)

Accommodation for Corporate Finance Filers Filing by E-Mail with Payment by Wire Transfer

The Securities Division hereby provides these temporary accommodations with respect to applications for securities registration, securities exemption filings, securities notice filings, and the filing of consent to service of process forms and related corporate resolutions ("corporate finance filings").

This Notice is a temporary accommodation, which will be evaluated on an ongoing basis and will be reassessed as normal functions resume.

Filing fees may be paid via wire transfer

Please contact the Securities Division for wire transfer instructions at and include the words "wire transfer instructions" in the subject line.

Please e-mail a copy of the filing (which may include uniform state forms, SEC forms, cover letters, and related materials) to: . To help the staff categorize the filing appropriately, please indicate in the subject line of the e-mail that it relates to a filing and indicate the type of filing you are making. Filers may send e-mails that include read receipt requests.

To help ensure that the filing can be connected to the appropriate wire transfer payment, please provide the following in the e-mailed filing:

  • The identify the filing person or organization;
  • The date of the wire transfer and the amount paid;
  • The section of Massachusetts law or regulations applicable to the filing;
  • A unique reference number(s) for the wire transfer payment.

In the wire transfer, please identify the person or organization sending the payment and identify the filing(s) to which the payment relates. The "Additional Information for Recipient" field on the wire transfer may be an appropriate place for this identifying information. In the alternative, the issuer's or filing person's name may also be included for identification purposes in the "Beneficiary" section of the wire transfer.

File accurately: Check filing fees and do not mix filing types

Filers are requested to take steps to file accurately, and make sure that filing fees are correct. For any wire transfer payment, we request that filers not mix investment company filings with other kinds of filings (e.g. registration or exemption filings).

Please note that the Securities Division's May 28, 2021 Corporate Finance Statement of Policy on Filing Requirements and Remote Filings, which allows for the use of manual and electronic signatures as well as in-person or remote notarization, is available to e-mail filers.

EFD filing is available for Rule 506 and UIT notice filings

The Securities Division accepts Form D filings and fees through the Electronic Filing Depository (EFD). The Securities Division will also accept notice filings for Unit Investment Trusts (UITs) via the EFD as of January 4, 2021.

EFD is an online system, developed by the North American Securities Administrators Association (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 website also enables the public to search and view, free of charge, Form D filings made with state securities regulators.

EFD is available at: www.nasaaefd.org.

While the Securities Division encourages filers to use the EFD system, the options of filing manually or by e-mail remain available at this time.

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

Please send any questions about filing to . Please indicate in the subject line that the e-mail relates to a question.