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For Corporation Finance

The physical locations for the Department of Banking and Securities are currently closed.  We are maintaining operations through electronic communication. Please direct your filings accordingly:

Issuers: Filings for Securities offerings must be filed with the Office of Corporation Finance as follows:

  • Registrations under Sections 205 and 206 (These include all Reg A, Tier 1 and Tier 2 filings) – Please utilize the NASAA EFD System for filings and payments.  https://www.efdnasaa.org/   The filing type on the EFD System is the "UFT" or "Universal Filing Type"

  • Exemptions filed pursuant to Sections 203(d), (u) and 211(b.1) are to be filed on the NASAA EFD System under "UFT" or "Universal Filing Type".  https://www.efdnasaa.org/

  • Exemption filings for 203(o), (p) and (t) - Please contact The Office of Corporation Finance at RA-BNcorpfin@pa.gov  prior to submitting your filing.   Please mail the filing fee check to the Department's Harrisburg address.  Please make checks payable to the Commonwealth of Pennsylvania.

  • Form D filings pursuant to Section 211(b) – Please file all Form D filings and corresponding fees on the EFD System.  https://www.efdnasaa.org/

  • Mutual Fund and Unit Investment Trusts filed pursuant to Section 211(a) – Please file all offerings on Blue Express if you have access to that system or the EFD System.  https://www.efdnasaa.org/.   If you are a Mutual Fund filer and do not have access to Blue Express, then please continue to mail your filing fee into the Department and email your filings to RA-BNcorpfin@pa.gov