- 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 (https://www.njconsumeraffairs.gov/bos/Pages/Default.aspx) devoted to securities registration and exemption filings.
