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For Corporation Finance

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.   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".

  • Exemption filings for 203(o), (p) and (t) - Please contact The Office of Corporation Finance at  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.

  • 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.   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