• Pennsylvania is a merit jurisdiction.
  • Pennsylvania accepts the Uniform Application to Register Securities (Form U1), and does not allow for electronic signature of forms. Pennsylvania also requires the Pennsylvania Form R as a supplement to the U1
  • Registration requires filing or delivery of:
    • Filing fee
    • Application form
    • Financial statements
    • SEC Form 1-A with exhibits
    • Pennsylvania Form R, which is a supplement to the U1
  • Pennsylvania collects a variable fee in the amount of $500 plus 1/20 of 1% of the maximum aggregate offering price up to a maximum of $3,000.
  • Fees should be made payable to “Commonwealth of Pennsylvania.” Payment should be sent to the following address:
Mailing Address:  Courier Address:
PA Department of Banking and Securities
Market Square Plaza
17 N. Second Street, Suite 1300
Harrisburg, PA 17101
PA Department of Banking and Securities
Market Square Plaza
17 N. Second Street, Suite 1300
Harrisburg, PA 17101
  • For additional information, please visit the regulator’s website at www.dobs.state.pa.us or contact them at (717) 783-4223.