Each item in the Review Queue on Filing Checks is a reminder built from what you've recorded. Click Review Item to act on it. An item clears when the record it needs is saved. These items don't file anything or prove you meet the law, so ask your lawyer to check the details.
Review Items
- Set Up Filing Monitoring: this raise has no filing record yet. Save one with Record Review.
- Confirm Investor Jurisdictions: some investing accounts have no confirmed US state. Confirm them on the Blue Sky Filings tab.
- Review a state Notice Filing: an investor in that state is tied to this raise, and the state has no reviewed record. Record it with State Filing.
- Review a state Renewal: a follow-up date you entered on a state filing is coming up.
- Confirm Date Of First Sale: the record has no first sale date and no confirmed filing. Add Confirmed First Irrevocable Contractual Pledge.
- Review Initial Form D: there's a first sale date but no confirmed filing. The review date is 15 calendar days after first sale.
- Review Annual Form D Amendment: a continuing raise is coming up on the anniversary of its latest confirmed filing.
- Review Raise Changes: raise details changed since your last recorded review. Saving a new review resets this.
- Link The Legal Issuer: the record has no SEC CIK. Add the issuer's, not just your sponsor name.
- SEC Check Needs Attention: the last SEC lookup failed or is more than two days old. Click Check SEC.
- Review SEC Filing Matches: possible Form D filings were found under this CIK. Open them, then click Use This Filing on the right one.
Dates and Tasks
A Past Review Date badge means the review date has gone by. Items due within 30 days, and items with no date, become tasks during the daily check. Click Update Review Tasks to refresh them now. A task closes on its own when its item clears.
Who Can Act
Everyone on the team can see this page. Recording reviews needs the Manage filing reviews, investor states or countries, SEC monitoring, and AI review permission. Without it, the button reads View Record. Owners and admins have it.
Good to Know
- New states are checked separately for each raise, so a filing recorded for one raise doesn't clear another.
- State Filing stays off until a raise has a saved Record Review.
- On the Blue Sky Filings tab, a button such as Confirm 3 From Addresses saves the mailing address state for every unconfirmed account at once. To do one account, use its button, such as Use CA, or the Confirmed State list.
- Related: How Do I Track Form D and Blue Sky Filings?.
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