Blue Sky Administration

Blue sky laws, which require registration of securities offerings in the applicable jurisdiction if the security is sold there, vary widely and change frequently. Even the smallest mistake may result in financial penalties to your firm.

We1 can help mitigate this risk with our Blue Sky Administration service. The full-service functions we deliver include:

  • State Blue Sky filings (initial, amendment, renewal, and fund changes).
  • Daily sales monitoring.
  • Transfer agent sales feed consolidation.
  • Submission of approved notice filings and payment on clients’ behalf, through limited power of attorney.
  • Customized Blue Sky billing cycle and automated payment.
  • Exemption processing.

More than just a vendor, we can be a strategic ally in the delivery of your Blue Sky program. Through our industry leadership, operational experience, and data-driven-improvement recommendations, we can help you maintain an efficient and effective Blue Sky program.

1 Services may be provided by DST Systems, Inc. or an affiliate or subsidiary of DST Systems, Inc.

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