New Jersey

  • New Jersey is a quasi-disclosure jurisdiction. In addition to disclosure related comments, New Jersey may also make merit comments.
  • New Jersey accepts the Uniform Application to Register Securities (Form U1).
  • Uniform Forms and the New Jersey Addendum require an original signature.
  • The Form 1-A and exhibits must be filed with New Jersey in the form filed with the SEC (signed or conformed, as required by the SEC).
  • Registration requires filing or delivery of:
    • Filing fee
    • Application form
    • Financial statements
    • A Consent to Service of Process (Form U2)
    • Uniform Corporate Resolution (if the issuer is a corporation)
    • SEC Form 1-A with exhibits (Charter, Bylaws, Legal and Tax options, Underwriting, Dealer-Manager or other Selling Agreement, Indenture (if applicable), Specimen of Security, Written Consents of Experts)
    • All advertising and sales literature
    • Form NJBOS-5, New Jersey Addendum, available at: http://www.njsecurities.gov/njbos-5.pdf
    • Any other document or information request by the Bureau
  • New Jersey collects a fixed fee in the amount of $1000. Fees should be made payable to “New Jersey Bureau of Securities.” Payments should be sent to the following address:
Mailing Address:  Courier Address:
New Jersey Bureau of Securities
153 Halsey Street, 6th Floor
Newark, NJ 07102
New Jersey Bureau of Securities
153 Halsey Street, 6th Floor
Newark, NJ 07102
  • For additional information please contact the Bureau of Securities at (973) 504-3600.  Please note the Bureau does not have a separate website or specific section of its website (http://www.njsecurities.gov) devoted to securities registration and exemption filings.
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