Virginia Registration by Notification — Pursuant to 21 VAC 5-30-50 Non-Issuer Distribution "Secondary Trading" is a registration process that allows a securities broker-dealer to offer and sell securities in the state of Virginia without registering the securities or filing a prospectus. This process is only applicable to non-issuer distributions of the security and must include notifications that are made to the Virginia State Corporation Commission (SCC). The Virginia Registration by Notification process includes two types of notifications: a) Notification of Sale, and b) Request for Comments. The Notification of Sale is a written notice to the SCC that provides details about the offering, such as the name of the issuer, the type of security being offered, the offering price, and the number of shares being offered. The Request for Comments is a request to the SCC for any comments or concerns regarding the offering. This registration process does not require the filing of a prospectus. However, the broker-dealer must provide full disclosure of all material information regarding the offering to potential investors, and must comply with all applicable state and federal laws and regulations.
Virginia Registration by Notification - Pursuant to 21 VAC 5-30-50 Non-Issuer Distribution "Secondary Trading"
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