Our organization is a blue sky state filing resource for issuer dealer and issuer sales agent registrations that meet state securities laws and requirements. This means that when you do decide to ditch the institutional path, we will help you stay compliant with the states.
Whether it’s your first time combatting sales or you’re a seasoned professional, our filing services and platform assist you based on whichever state your investors currently reside in. Not only do we offer peace of mind, knowing that you are cleared in the appropriate states, but we also have the skillset to bypass broker-dealers on Regulation A and Regulation D offerings.
Our Issuer Dealer registration services allow you to quickly become eligible to sell your stock in any State without a Broker-Dealer at a fraction of the cost.
Compliant registration allows you to make sales in states with such requirements.
When registering as an issuer dealer and sales agent, you aren’t required to have a broker-dealer represent you.
Our relationship with the states makes it possible to meet quicker deadlines and resolve concerns more effectively.
Our services are not limited to Reg A and Reg D offerings but that is what most of our clients are doing when they need to register as an issuer dealer.
Save tens of thousands to hundreds of thousands of dollars in broker fees with this approach by being your own dealer and agent.
We can handle everything for you including initial and renewal filings with reminders, and full service throughout the entire process so you don’t have to worry about what’s next.
We can help you get approval much quicker because of our streamlined process and technology.
We take our role seriously and will represent you when it matters most with state regulators to obtain approval
Our years of customer service and reliability assure accuracy and expertise in any filing situation.
Broker-Dealers typically charge percentage-based commissions plus tens of thousands of dollars in administrative fees for offerings. With IssuerDealer.com, you can finally say goodbye to the headache and exorbitant broker fees, and hello to having greater control over your securities offerings. As an issuer, you can make sales to investors directly with the help of IssuerDealer.com's filing and registration services.
1. What are your Issuer Dealer services, and how do they differ from using a Broker Dealer?
Our Issuer Dealer services help companies register in states as an Issuer Dealer and Sales Agent so they can make their own sales to investors. Today, most broker-dealers do not sell securities on your behalf and only provide compliance services that allow you to use their registration and license in various states so you can make the sales for your offering under their license.
Brokers also are tightly regulated by FINRA and many of their increasing requirements aren’t required for issuers making their own sales. Brokers charge anywhere from 1-10% of the offering plus fixed fees, typically starting at $20,000. IssuerDealer.com can help alleviate and eliminate the unnecessary compliance requirements and fees associated with using a broker by helping you register in the States through our online platform and consulting. We make the process easy.
2. What states am I required to register as an Issuer Dealer or Sales Agent for Regulation A offerings?
Issuer Dealer Registrations for Reg A offerings are required in New Jersey, Florida, New York, and Texas. For agents participating in the selling process registration is required in the state of Nevada and Washington. Thus, six state issuer dealer registration and sales agent filings are required as of 6/1/2023. This may change at any time. Contact us to learn more or discuss with your legal counsel.
3. What states am I required to register as an Issuer Dealer or Sales Agent for Regulation D offerings?
Issuer Dealer and Agent Registrations for Reg D offerings are required in Florida. Thus, one state issuer dealer registration and sales agent filings are required as of 6/1/2023. This may change at any time. Contact us to learn more or discuss with your legal counsel.
4. What states am I required to file blue sky notices for Reg D offerings?
For Regulation D offerings, issuers must comply with individual state's securities laws and regulations, which may involve filing notices or paying fees in states where investors reside, to ensure compliance with state-specific rules. Contact us to learn more.
5. What is the difference between regular blue sky filings and Issuer Dealer filings, as both get filed to the states?
Regular blue sky filings and issuer-dealer filings are both filed to state securities regulators, but they serve different purposes. Regular Blue State filings are submitted by companies that wish to offer and sell their securities in a particular state to investors, typically as notice filings for Reg A and Reg D offerings. Issuer-dealer filings, on the other hand, are submitted by companies that not only offer their securities but also engage in the business of selling securities to investors in those states.
Both filings are necessary for compliance with state securities laws, but the scope and requirements differ based on the company's role in the securities market.
6. When can I start my Issuer Dealer filings for my offering and how long do they take?
The timing for starting Issuer Dealer filings for your offering depends on the specific requirements of the state(s) where you plan to conduct your securities business. It is essential to begin the filing process well in advance of the intended offering to allow for sufficient review and processing time by state securities regulators.
The duration for completing Issuer Dealer filings varies from state to state and can range from a few weeks to several months, depending on the complexity of the offering, the responsiveness of the issuer to any regulatory requests, and the workload of the state regulatory agency. It's advisable to setup a demo with us and we can help provide a better time estimate.
7. What costs are involved in filing?
The costs involved in filing can vary depending on the type of filing and the specific requirements of the state(s) involved. However, we offer a fixed and flat fee for our services, and we can provide a quote tailored to your specific filing needs through a short meeting. This meeting will ensure transparency and will allow you to understand the pricing structure. Please feel free to reach out to us for a personalized quote and to learn more about our services.
8. Are Issuer Dealer services suitable for all types of securities offerings?
Issuer Dealer services are best suited for certain types of securities offerings that require issuer and sales agent registration in certain states on Regulation A and Regulation D offerings. We can help with these registrations on any offering.
Our team consists of experienced professionals who have a deep understanding of the equity crowdfunding market. We are committed to helping local businesses achieve their investment goals by providing customized solutions that are tailored to their specific needs. Click here to meet our team.
