10-120

10-120. Filing requirements

A. In order to qualify for filing by the commission, a document shall satisfy the
requirements of this section and any other section of chapters 1 through 17 of this title
that adds to or varies these requirements.

B. Chapters 1 through 17 of this title require or permit filing of the document in
the office of the commission.

C. The document shall contain the information required by chapters 1 through 17 of
this title. It may contain other information.

D. The document shall be typewritten or printed and shall be legible and capable of
microfilm or other process reduction and subsequent reproduction as determined by the
commission.

E. The document and any exhibits to the document shall be in the English language
or accompanied by an English translation certified as accurate by or on behalf of the
person causing the document to be delivered for filing.

F. The document shall be executed either:

1. By the chairman of the board of directors of a domestic or foreign corporation,
by its president or by another of its officers.

2. If directors have not been selected or the corporation has not been formed, by
an incorporator.

3. If the corporation is in the hands of any receiver, trustee or other court
appointed fiduciary, by that fiduciary.

G. The document shall state the name of each person who signs it and the capacity
in which each person signs. The document may but need not contain:

1. The corporate seal.

2. An attestation by the secretary or an assistant secretary.

3. An acknowledgment, verification or proof.

H. If the commission has prescribed a mandatory form for the document under section
10-121, the document shall be in or on the prescribed form.

I. Except as provided in subsection J of this section and sections 10-503 and
10-1509, the document shall be delivered to the office of the commission for filing and
shall be accompanied by the correct fee and any other payment or penalty required by
chapters 1 through 17 of this title or other law.

J. Notwithstanding subsection I of this section:

1. A person may deliver by means of a fax or electronic transmission a document
that is required or permitted by chapters 1 through 17 of this title to be delivered to
the commission for filing. The person shall retain the original document for at least
twelve months in the books and records of the corporation or of the person making the
delivery for filing, if the delivery is not made on behalf of the corporation, and the
person shall make the original document available for inspection and copying by the
commission on reasonable notice.

2. A document that is reproduced at a fax machine or through an electronic
transmission at the commission is deemed delivered to the commission:

(a) On the date of the reproduction if reproduced on or before 5:00 p.m. mountain
standard time and if the day is a business day of the commission.

(b) On the next succeeding business day if reproduced after 5:00 p.m. mountain
standard time or on a day that is not a business day of the commission.

3. On the request of the person transmitting the document, the commission shall
confirm by fax or electronic transmission or other writing the receipt of the document.

4. A person shall pay and deliver to the commission any fee or penalty imposed by
section 10-122 or by any other section of chapters 1 through 17 of this title with
respect to delivery of a document to the commission for filing in the manner as the
commission determines.

5. If the commission determines that the legality of the document reproduced by
means of a fax or electronic transmission is not sufficient, the commission may require
that either:

(a) The document be delivered to the commission by means of an additional fax or
electronic transmission.

(b) An original document be delivered to the commission by means other than a fax
or electronic transmission.

6. The commission shall not file a document if any required amount is not paid as
provided in paragraph 4 of this subsection or if any required additional counterpart is
not delivered as provided in paragraph 5 of this subsection.

7. A reproduced document delivered under this subsection is deemed to satisfy any
requirement in chapters 1 through 17 of this title for delivery of an original and one or
more copies of the document. A document subject to this paragraph is deemed to have been
delivered on the date on which it was delivered as provided in paragraph 2 of this
subsection only if the first reproduction at a minimum permits identification of the
corporation to which the document pertains and of the general nature of the document and
the commission subsequently determines that paragraphs 4 and 5 of this subsection and any
other requirements of chapters 1 through 17 of this title regarding the document have
been satisfied.

8. The commission may prescribe the format of an electronic document delivered to
the commission pursuant to this subsection.