Corporate Finance Section Statement of Policy on Filing Requirements and Remote Filings

May 28, 2021; revised September 19, 2024

In order to assist filers that are continuing to work remotely or that otherwise need the benefits of remote filing, the Corporate Finance Section of the Securities Division hereby provides the following information and accommodations.

• Signatures and Execution of Documents. The Corporate Finance Section will accept as being executed: manually signed documents; electronically signed documents; and copies of documents (including .pdf copies) bearing signatures or evidence of electronic signatures.
• When Documents are Deemed Filed. Documents are deemed filed when received by the Securities Division. The Division will continue to accept corporate finance filings by e-mail with fees paid by wire transfer. Such e-mailed filings are considered to be filed when they reach the Division. (Filers may send e-mailed filings with read receipts requested.) Filings made via the NASAA Electronic Filing Depository system (EFD) are considered filed when the Securities Division when they are received by the EFD.
• Form U-2.  The Corporate Finance Section accepts the NASAA Uniform Consent to Service of Process (Form U-2), which should be filled out in accordance with the instructions for and the terms of that form. The Section also accepts the service of process that is incorporated in the NASAA EFD system in connection with EFD filings for Regulation D, Rule 506 offerings.
  Note: The Securities Division designates the NASAA Form U-2 as the form of consent to service of process to be used in connection with filing requirement under Sec. 414(g) of M.G.L. c.110A.
• Payments of Corporate Finance Filing Fees.  Payments of corporate finance filing fees may be by check, money order, or wire transfer. Payments must be in U.S. Dollars. Checks or other forms of payment that are returned for insufficient funds may result in the invalidation of the filing and the assessment of an administrative penalty.