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State Notice/Further State Notices

WHAT IS A STATE NOTICE/FURTHER STATE NOTICE?

 

According to Sections 359-e, subd.2 and 359-e, subd.8 of the GENERAL BUSINESS LAW OF THE STATE OF NEW YORK, the State Notice and Further State Notice is filed with the Miscellaneous Div. of the Office of the NY Secretary of State by every SECURITY BROKER or DEALER prior to engaging in the business of selling or offering SECURITIES for sale to the public in New York State.  The Further State Notice must be filed for each issue to be offered, except for those specifically exempted by Section 359-f GBL.

The Filing Fee is $75.00 for each notice and further state notice. 

Please call us if you would like our assistance in completing and filing these forms.

 

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