Registration by notification O refers to the quality certification process in which an independent and accredited quality auditor conducts an on-site audit of a t O is required for those issuers of securities who must register with the Securities and Exchange Commission (SEC) and the duplicat are filed with the state's administrative agency O refers to documents filed with the Securities & Exchange Commission (SEC) by a privately held company, declaring its intent to of its stock to the general public. allows issuers to offer securities for sale automatically after a stated time period expire unless the administrative agency takes acti the offering is required by those issuers who lack a proven record and who are beyond the scope of Securities Act of 1933