17-12a303.Securities registration by
coordination.
(a) Registration permitted. A security for
which a registration statement has been filed under the securities
act of 1933 in connection with the same offering may be registered
by coordination under this section.
(b) Required records. A registration statement and
accompanying records under this section must contain or be
accompanied by the following records in addition to the information
specified in
K.S.A. 17-12a305, and amendments thereto, and a consent
to service of
process complying with
K.S.A. 17-12a611, and amendments
thereto:
(1) A copy of the latest form of prospectus filed under the
securities act of 1933;
(2) a copy of the articles of incorporation and bylaws or
their substantial equivalents currently in effect; a copy of any
agreement with or among underwriters; a copy of any indenture or
other instrument governing the issuance of the security to be
registered; and a specimen, copy, or description of the security that is
required by rule adopted or order issued under this act;
(3) copies of any other information or any other records
filed by the issuer under the securities act of 1933 requested by the
administrator; and
(4) an undertaking to forward each amendment to the federal
prospectus, other than an amendment that delays the effective date
of the registration statement, promptly after it is filed with the
securities and exchange commission.
(c) Conditions for effectiveness of registration statement.
A registration statement under this section becomes effective
simultaneously with or subsequent to the federal registration
statement when all the following conditions are satisfied:
(1) A stop order under subsection (d) or
K.S.A. 17-12a306, and
amendments thereto, or issued by the securities and exchange
commission is not in effect, and a proceeding is not pending against
the issuer under
K.S.A. 17-12a306, and amendments thereto, and the
administrator has
not given written notice of deficiencies that are unresolved and that would
constitute grounds for a stop order under
K.S.A. 17-12a306, and
amendments thereto;
and
(2) the registration statement has been on file for at least
20 days or a shorter period provided by rule adopted or order issued under this
act.
(d) Notice of federal registration statement effectiveness.
The registrant shall promptly notify the administrator in a record
of the date when the federal registration statement becomes
effective and the content of any price amendment and shall promptly
file a record containing the price amendment. If the notice is not
timely received, the administrator may issue a stop order, without
prior notice or hearing, retroactively denying effectiveness to the
registration statement or suspending its effectiveness until
compliance with this section. The administrator shall promptly
notify the registrant of an order by telephone or electronic means
and promptly confirm this notice by a record. If the registrant
subsequently complies with the notice requirements of this section,
the stop order is void as of the date of its issuance.
(e) Effectiveness of registration statement. If the federal
registration statement becomes effective before each of the
conditions in this section is satisfied or is waived by the
administrator, the registration statement is automatically
effective under this act when all the conditions are satisfied or
waived. If the registrant notifies the administrator of the date
when the federal registration statement is expected to become
effective, the administrator shall promptly notify the registrant
by a record, indicating whether all the conditions are satisfied or
waived and whether the administrator intends the institution of a
proceeding under
K.S.A. 17-12a306, and amendments thereto. The
notice by the
administrator does not preclude the institution of such a
proceeding.
17-12a303.Securities registration by
coordination.
(a) Registration permitted. A security for
which a registration statement has been filed under the securities
act of 1933 in connection with the same offering may be registered
by coordination under this section.
(b) Required records. A registration statement and
accompanying records under this section must contain or be
accompanied by the following records in addition to the information
specified in
K.S.A. 17-12a305, and amendments thereto, and a consent
to service of
process complying with
K.S.A. 17-12a611, and amendments
thereto:
(1) A copy of the latest form of prospectus filed under the
securities act of 1933;
(2) a copy of the articles of incorporation and bylaws or
their substantial equivalents currently in effect; a copy of any
agreement with or among underwriters; a copy of any indenture or
other instrument governing the issuance of the security to be
registered; and a specimen, copy, or description of the security that is
required by rule adopted or order issued under this act;
(3) copies of any other information or any other records
filed by the issuer under the securities act of 1933 requested by the
administrator; and
(4) an undertaking to forward each amendment to the federal
prospectus, other than an amendment that delays the effective date
of the registration statement, promptly after it is filed with the
securities and exchange commission.
(c) Conditions for effectiveness of registration statement.
A registration statement under this section becomes effective
simultaneously with or subsequent to the federal registration
statement when all the following conditions are satisfied:
(1) A stop order under subsection (d) or
K.S.A. 17-12a306, and
amendments thereto, or issued by the securities and exchange
commission is not in effect, and a proceeding is not pending against
the issuer under
K.S.A. 17-12a306, and amendments thereto, and the
administrator has
not given written notice of deficiencies that are unresolved and that would
constitute grounds for a stop order under
K.S.A. 17-12a306, and
amendments thereto;
and
(2) the registration statement has been on file for at least
20 days or a shorter period provided by rule adopted or order issued under this
act.
(d) Notice of federal registration statement effectiveness.
The registrant shall promptly notify the administrator in a record
of the date when the federal registration statement becomes
effective and the content of any price amendment and shall promptly
file a record containing the price amendment. If the notice is not
timely received, the administrator may issue a stop order, without
prior notice or hearing, retroactively denying effectiveness to the
registration statement or suspending its effectiveness until
compliance with this section. The administrator shall promptly
notify the registrant of an order by telephone or electronic means
and promptly confirm this notice by a record. If the registrant
subsequently complies with the notice requirements of this section,
the stop order is void as of the date of its issuance.
(e) Effectiveness of registration statement. If the federal
registration statement becomes effective before each of the
conditions in this section is satisfied or is waived by the
administrator, the registration statement is automatically
effective under this act when all the conditions are satisfied or
waived. If the registrant notifies the administrator of the date
when the federal registration statement is expected to become
effective, the administrator shall promptly notify the registrant
by a record, indicating whether all the conditions are satisfied or
waived and whether the administrator intends the institution of a
proceeding under
K.S.A. 17-12a306, and amendments thereto. The
notice by the
administrator does not preclude the institution of such a
proceeding.
17-12a303.Securities registration by
coordination.
(a) Registration permitted. A security for
which a registration statement has been filed under the securities
act of 1933 in connection with the same offering may be registered
by coordination under this section.
(b) Required records. A registration statement and
accompanying records under this section must contain or be
accompanied by the following records in addition to the information
specified in
K.S.A. 17-12a305, and amendments thereto, and a consent
to service of
process complying with
K.S.A. 17-12a611, and amendments
thereto:
(1) A copy of the latest form of prospectus filed under the
securities act of 1933;
(2) a copy of the articles of incorporation and bylaws or
their substantial equivalents currently in effect; a copy of any
agreement with or among underwriters; a copy of any indenture or
other instrument governing the issuance of the security to be
registered; and a specimen, copy, or description of the security that is
required by rule adopted or order issued under this act;
(3) copies of any other information or any other records
filed by the issuer under the securities act of 1933 requested by the
administrator; and
(4) an undertaking to forward each amendment to the federal
prospectus, other than an amendment that delays the effective date
of the registration statement, promptly after it is filed with the
securities and exchange commission.
(c) Conditions for effectiveness of registration statement.
A registration statement under this section becomes effective
simultaneously with or subsequent to the federal registration
statement when all the following conditions are satisfied:
(1) A stop order under subsection (d) or
K.S.A. 17-12a306, and
amendments thereto, or issued by the securities and exchange
commission is not in effect, and a proceeding is not pending against
the issuer under
K.S.A. 17-12a306, and amendments thereto, and the
administrator has
not given written notice of deficiencies that are unresolved and that would
constitute grounds for a stop order under
K.S.A. 17-12a306, and
amendments thereto;
and
(2) the registration statement has been on file for at least
20 days or a shorter period provided by rule adopted or order issued under this
act.
(d) Notice of federal registration statement effectiveness.
The registrant shall promptly notify the administrator in a record
of the date when the federal registration statement becomes
effective and the content of any price amendment and shall promptly
file a record containing the price amendment. If the notice is not
timely received, the administrator may issue a stop order, without
prior notice or hearing, retroactively denying effectiveness to the
registration statement or suspending its effectiveness until
compliance with this section. The administrator shall promptly
notify the registrant of an order by telephone or electronic means
and promptly confirm this notice by a record. If the registrant
subsequently complies with the notice requirements of this section,
the stop order is void as of the date of its issuance.
(e) Effectiveness of registration statement. If the federal
registration statement becomes effective before each of the
conditions in this section is satisfied or is waived by the
administrator, the registration statement is automatically
effective under this act when all the conditions are satisfied or
waived. If the registrant notifies the administrator of the date
when the federal registration statement is expected to become
effective, the administrator shall promptly notify the registrant
by a record, indicating whether all the conditions are satisfied or
waived and whether the administrator intends the institution of a
proceeding under
K.S.A. 17-12a306, and amendments thereto. The
notice by the
administrator does not preclude the institution of such a
proceeding.