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 you to 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.

Administration of your blue sky program can be complicated and costly. You need to understand and stay ahead of the ever-changing state regulations.

Our blue sky team is knowledgeable in understanding and communicating the rules in each state. We deliver regular and comprehensive data reports to help ensure our clients understand how their state fees are generated. Along with these reports, we can help you identify potential opportunities for more cost-effective notice filing options.

Download our latest article, "Blue Sky Administration: Offering the Potential to Achieve State Fee Cost Savings" for case studies related to our blue sky offerings.

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

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