§ 78A‑31. Noticefilings for securities covered under federal law.
(a) The Administrator,by rule or order, may require the filing of any of the following documents withregard to a security covered under section 18(b)(2) of the Securities Act of1933 (15 U.S.C. § 77r(b)(2)):
(1) Prior to the initialoffer of the security in this State, all documents that are part of a federalregistration statement filed with the Securities and Exchange Commission underthe Securities Act of 1933, or, in lieu thereof, a form prescribed by theAdministrator, together with a consent to service of process signed by theissuer and with the payment of a notice filing fee of two thousand dollars($2,000).
(2) After the initialoffer of the security in this State, all documents that are part of anamendment to a federal registration statement filed with the Securities andExchange Commission under the Securities Act of 1933, or, in lieu thereof, aform prescribed by the Administrator, which shall be filed concurrently withthe Administrator.
(3) A report of thevalue of securities covered under federal law that are offered or sold in thisState.
(4) A notice filingpursuant to this section shall expire on December 31 of each year or some otherdate not more than one year from its effective date as the Administrator may byrule or order provide. A notice filing of the offer of securities covered underfederal law that are to be offered for a period in excess of one year shall berenewed annually by payment of a renewal fee of two thousand dollars ($2,000)and by filing any documents and reports that the Administrator may by rule ororder require consistent with this section. The renewal shall be effective uponthe expiration of the prior notice period.
(5) A notice filed inaccordance with this section may be amended after its effective date toincrease the securities specified as proposed to be offered. An amendmentbecomes effective upon receipt by the Administrator. Every person submitting anamended notice filing shall pay a filing fee of fifty dollars ($50.00) withrespect to the additional securities proposed to be offered.
(b) With regard to anysecurity that is covered under section 18(b)(4)(D) of the Securities Act of1933 (15 U.S.C. § 77r(b)(4)(d)), the Administrator, by rule or order, mayrequire the issuer to file a notice on SEC Form D (17 C.F.R. § 239.500) and aconsent to service of process signed by the issuer no later than 15 days afterthe first sale of the security in this State. There is established a fee ofthree hundred fifty dollars ($350.00) to recover costs for filing required bythis section.
(c) The Administrator,by rule or order, may require the filing of any document filed with theSecurities and Exchange Commission under the Securities Act of 1933, with respectto a security covered under section 18(b)(3) or (4) of the Securities Act of1933 (15 U.S.C. § 77r(b)(3) or (4)). The Administrator may, by rule, establisha fee to recover costs for any filing required under this section, not toexceed one hundred fifty dollars ($150.00).
(d) The Administratormay suspend the offer and sale of a covered security, except a covered securityunder section 18(b)(1) of the Securities Act of 1933 (15 U.S.C. § 77r(b)(1)),if the Administrator finds that (i) the order is in the public interest, and(ii) there is a failure to comply with any condition established under thissection.
(e) The Administrator,by rule or order, may waive any of the requirements set by this section. (1997‑419, s. 9; 1998‑212,s. 29A.9(d); 2002‑126, ss. 29A.24, 29A.37; 2002‑189, s. 4; 2003‑284,s. 35B.2(a); 2008‑107, s. 29.3(a).)
§ 78A‑31. Noticefilings for securities covered under federal law.
(a) The Administrator,by rule or order, may require the filing of any of the following documents withregard to a security covered under section 18(b)(2) of the Securities Act of1933 (15 U.S.C. § 77r(b)(2)):
(1) Prior to the initialoffer of the security in this State, all documents that are part of a federalregistration statement filed with the Securities and Exchange Commission underthe Securities Act of 1933, or, in lieu thereof, a form prescribed by theAdministrator, together with a consent to service of process signed by theissuer and with the payment of a notice filing fee of two thousand dollars($2,000).
(2) After the initialoffer of the security in this State, all documents that are part of anamendment to a federal registration statement filed with the Securities andExchange Commission under the Securities Act of 1933, or, in lieu thereof, aform prescribed by the Administrator, which shall be filed concurrently withthe Administrator.
(3) A report of thevalue of securities covered under federal law that are offered or sold in thisState.
(4) A notice filingpursuant to this section shall expire on December 31 of each year or some otherdate not more than one year from its effective date as the Administrator may byrule or order provide. A notice filing of the offer of securities covered underfederal law that are to be offered for a period in excess of one year shall berenewed annually by payment of a renewal fee of two thousand dollars ($2,000)and by filing any documents and reports that the Administrator may by rule ororder require consistent with this section. The renewal shall be effective uponthe expiration of the prior notice period.
(5) A notice filed inaccordance with this section may be amended after its effective date toincrease the securities specified as proposed to be offered. An amendmentbecomes effective upon receipt by the Administrator. Every person submitting anamended notice filing shall pay a filing fee of fifty dollars ($50.00) withrespect to the additional securities proposed to be offered.
(b) With regard to anysecurity that is covered under section 18(b)(4)(D) of the Securities Act of1933 (15 U.S.C. § 77r(b)(4)(d)), the Administrator, by rule or order, mayrequire the issuer to file a notice on SEC Form D (17 C.F.R. § 239.500) and aconsent to service of process signed by the issuer no later than 15 days afterthe first sale of the security in this State. There is established a fee ofthree hundred fifty dollars ($350.00) to recover costs for filing required bythis section.
(c) The Administrator,by rule or order, may require the filing of any document filed with theSecurities and Exchange Commission under the Securities Act of 1933, with respectto a security covered under section 18(b)(3) or (4) of the Securities Act of1933 (15 U.S.C. § 77r(b)(3) or (4)). The Administrator may, by rule, establisha fee to recover costs for any filing required under this section, not toexceed one hundred fifty dollars ($150.00).
(d) The Administratormay suspend the offer and sale of a covered security, except a covered securityunder section 18(b)(1) of the Securities Act of 1933 (15 U.S.C. § 77r(b)(1)),if the Administrator finds that (i) the order is in the public interest, and(ii) there is a failure to comply with any condition established under thissection.
(e) The Administrator,by rule or order, may waive any of the requirements set by this section. (1997‑419, s. 9; 1998‑212,s. 29A.9(d); 2002‑126, ss. 29A.24, 29A.37; 2002‑189, s. 4; 2003‑284,s. 35B.2(a); 2008‑107, s. 29.3(a).)
§ 78A‑31. Noticefilings for securities covered under federal law.
(a) The Administrator,by rule or order, may require the filing of any of the following documents withregard to a security covered under section 18(b)(2) of the Securities Act of1933 (15 U.S.C. § 77r(b)(2)):
(1) Prior to the initialoffer of the security in this State, all documents that are part of a federalregistration statement filed with the Securities and Exchange Commission underthe Securities Act of 1933, or, in lieu thereof, a form prescribed by theAdministrator, together with a consent to service of process signed by theissuer and with the payment of a notice filing fee of two thousand dollars($2,000).
(2) After the initialoffer of the security in this State, all documents that are part of anamendment to a federal registration statement filed with the Securities andExchange Commission under the Securities Act of 1933, or, in lieu thereof, aform prescribed by the Administrator, which shall be filed concurrently withthe Administrator.
(3) A report of thevalue of securities covered under federal law that are offered or sold in thisState.
(4) A notice filingpursuant to this section shall expire on December 31 of each year or some otherdate not more than one year from its effective date as the Administrator may byrule or order provide. A notice filing of the offer of securities covered underfederal law that are to be offered for a period in excess of one year shall berenewed annually by payment of a renewal fee of two thousand dollars ($2,000)and by filing any documents and reports that the Administrator may by rule ororder require consistent with this section. The renewal shall be effective uponthe expiration of the prior notice period.
(5) A notice filed inaccordance with this section may be amended after its effective date toincrease the securities specified as proposed to be offered. An amendmentbecomes effective upon receipt by the Administrator. Every person submitting anamended notice filing shall pay a filing fee of fifty dollars ($50.00) withrespect to the additional securities proposed to be offered.
(b) With regard to anysecurity that is covered under section 18(b)(4)(D) of the Securities Act of1933 (15 U.S.C. § 77r(b)(4)(d)), the Administrator, by rule or order, mayrequire the issuer to file a notice on SEC Form D (17 C.F.R. § 239.500) and aconsent to service of process signed by the issuer no later than 15 days afterthe first sale of the security in this State. There is established a fee ofthree hundred fifty dollars ($350.00) to recover costs for filing required bythis section.
(c) The Administrator,by rule or order, may require the filing of any document filed with theSecurities and Exchange Commission under the Securities Act of 1933, with respectto a security covered under section 18(b)(3) or (4) of the Securities Act of1933 (15 U.S.C. § 77r(b)(3) or (4)). The Administrator may, by rule, establisha fee to recover costs for any filing required under this section, not toexceed one hundred fifty dollars ($150.00).
(d) The Administratormay suspend the offer and sale of a covered security, except a covered securityunder section 18(b)(1) of the Securities Act of 1933 (15 U.S.C. § 77r(b)(1)),if the Administrator finds that (i) the order is in the public interest, and(ii) there is a failure to comply with any condition established under thissection.
(e) The Administrator,by rule or order, may waive any of the requirements set by this section. (1997‑419, s. 9; 1998‑212,s. 29A.9(d); 2002‑126, ss. 29A.24, 29A.37; 2002‑189, s. 4; 2003‑284,s. 35B.2(a); 2008‑107, s. 29.3(a).)
