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Explanation of Codes

Securities Registration Codes

  1. Coordination application (filed with SEC)
  2. Qualification application (not filed with SEC)
  3. Investment company notice filing (open-end mutual funds)
  4. (Not used)
  5. Unit investment trust notice filing (fixed portfolio investment companies)

Securities Exemption Codes

  1. Request for order of exemption
  2. Regulation D (Rule 505 and 506 offerings exempt from SEC registration)
  3. Notices (includes filings under several state securities law sections)
  4. Confirmation that an exemption is available under law and/or rules
  5. Secondary trading request
  6. Interpretative opinion request

Miscellaneous

  1. Take-over filing
  2. Going private filing
  3. Solicitation of Interest (testing the waters) filing

Licensing

54-56 Various Licensing requests

Franchise

  1. Registration application
  1. Interpretative opinion request
  2. Confirmation that an exemption is available under law and/or rules
  1. Request for order of exemption