b'Chapter 10Required Federal and State Securities Notice Filings Mostsecuritiesexemptions,exceptforcertainintrastateofferings, require filing notices with the SEC and/or applicable securities agencies. This is your notice to the SEC and the states (where your investors reside), claiming that you are following the exemption under which the offering was made.What notices must be filed with securities agencies for an exempt real estate syndicate or fund? Thefollowinganswerisinvolved,butwellworthyourtimeand attentiontokeepyououtoftroublewherethesalesofsecuritiesis concerned. Federal Securities Notices A safe harbor exemption from registration is granted to the issuer of securities when an offer and sale of securities complies with the specific requirements of Regulation D, Rules 504, 505, or 506 under the federal Securities Act of 1933. The safe harbor exempts an issuer from both: Registration requirements under the Securities Act of 1933 Licensing requirements for securities brokers and dealers under the Securities and Exchange Act of 1934 If you are reading this chapter, this probably means you are an issuer or are contemplating becoming one. An issuer could be an individual or an 82'