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State Notice And Further State Notice Form. This is a New York form and can be use in Miscellaneous Secretary Of State.
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Tags: State Notice And Further State Notice, DOS-125, New York Secretary Of State, Miscellaneous
NYS DEPARTMENT OF STATE
MISCELLANEOUS RECORDS BUREAU
ONE COMMERCE PLAZA, 99 WASHINGTON AVENUE
ALBANY, NY 12231-0001
This form constitutes TWO DISTINCT NOTICES, each of which must be filed in DUPLICATE. A fee of $75
must accompany each State Notice and each Further State Notice. Checks, money orders and bank drafts should
be made payable to Department of State; amounts over $500 must be paid by money order, bank draft or certified
check. Mail completed form and fee to the Miscellaneous Records Bureau at the above address. Please do not send
cash through the mail.
DO NOT send offering literature to the Secretary of State.
State Notice
Under §359-e, subd. 2 of the General Business Law of the State of New York
(FEE: $75 / State Notice. This notice must be filed by every security broker or dealer prior to engaging in the business of selling or
offering for sale securities to the public in the State of New York.)
NAME OF DEALER OR BROKER
LIST BUSINESS OR POST OFFICE ADDRESS and “X” TYPE BELOW
“X”
ONE
Q
Q
BUSINESS ADDRESS
POST OFFICE/MAILING
ADDRESS
IF A CORPORATION, STATE OR
COUNTRY IN WHICH INCORPORATED
IF A PARTNERSHIP, THE NAMES
OF THE GENERAL PARTNERS
Further State Notice Under §359-e, subd. 8 of the General Business Law of the State of New York
(FEE: $75/Further State Notice. This notice to be filed for each issue to be offered, except those specifically exempted
by §359-f.)
NAME OF DEALER, BROKER OR SYNDICATE MANAGER
LIST BUSINESS OR POST OFFICE ADDRESS and “X” TYPE BELOW
“X”
ONE
Q
Q
BUSINESS ADDRESS
POST OFFICE/MAILING
ADDRESS
IF A CORPORATION, STATE OR
COUNTRY IN WHICH INCORPORATED
NAME OF SECURITY OR SECURITIES (CLASS)
NAME OF ISSUER OF SECURITIES
MAIL ADDRESS FOR ISSUER OF SECURITIES
(i.e., POSTAL ADDRESS)
STATE OR COUNTRY
IN WHICH ORGANIZED
DOS-125 (Rev. 5/98)
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