- 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.
