State Notice/Further State Notice

State Notice/Further State Notice
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Overview

Security dealers, brokers and salespersons who are non-residents of New York State and who will sell securities in New York State are required to obtain legal jurisdiction to engage in this business by filing a State Notice/Further State Notice with the Department of State. For statutory provisions: General Business Law Section 359-e.

How to File

  • File a State Notice/Further State Notice
    • A State Notice must be filed by every security broker or dealer prior to selling or offering for sale to, or purchase, or offer to purchase from, the public within or from this state, as principal, or broker, any securities issued or to be issued.
    • A Further State Notice must be filed by every dealer prior to selling or offering for sale to the public within New York State as principal or agent, any securities issued or to be issued which are not exempted by General Business Law Section 359-f.
  • The State Notice/Further State Notice must be filed in duplicate.
  • Please mail the completed State Notice/Further State Notice together with the filing fee to:
    • New York State Department of State, Division of Corporations, State Records and Uniform Commercial Code, State Records Bureau, One Commerce Plaza, 99 Washington Avenue, Albany, NY 12231-0001.

Fees

$75 filing fee must accompany each State Notice and each Further State Notice. 

  • Personal Checks, Postal Money Orders and Cashier's Checks are accepted.  Make payable to the NYS Department of State.  Checks over $500 must be certified.

Common Denial Reasons

Insufficient information; incorrect information; incorrect fees.

Contact Division of Corporations, State Records and Uniform Commercial Code

Contact the Division of Corporations, State Records, and Uniform Commercial Code

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