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 D.C. Municipal Regulations (Last Updated: September 13, 2017)
 Title 26. INSURANCE, SECURITIES, AND BANKING
 SubTilte 26-B. SECURITIES
 Chapter 26-B2. REGISTRATION OF SECURITIES OFFERINGS

  Section 26-B201. REGISTRATION BY NOTIFICATION  

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    201.1Applicants for Registration by Notification shall file with the Commissioner two copies of an application, including a statement demonstrating the applicant's eligibility for Registration by Notification, and a registration statement meeting the requirements of § 302(b) of the Act (D.C. Offical Code § 31-5603.02(b)). The application shall be signed by a duly authorized corporate official.

     

    201.2The prospectus referred to in § 302(c) of the Act (D.C. Offical Code § 31-5603.02(c)) shall consist of the registration statement. The prospectus shall meet the formal requirements set forth in §§ 210 through 239 of these regulations.

     

    201.3The registration of securities under § 302 of the Act (D.C. Offical Code § 31-5603.02) will be effective when so ordered by the Director.

     

    201.4Applicants for Registration by Notification shall pay a filing fee as provided in § 249.1.

     

source

Amended by Emergency Rulemaking published at 47 DCR 9910 (December 15, 2000) [EXPIRED]; as amended by Emergency Rulemaking published at 48 DCR 1987 (March 2, 2001) [EXPIRED]; as amended by Emergency and Proposed Rulemaking published at 48 DCR 3952 (May 4, 2001) [EXPIRED]; as amended by Emergency and Proposed Rulemaking published at 48 DCR 9177 (October 5, 2001) [EXPIRED]; as amended by Final Rulemaking published at 48 DCR 10879 (November 30, 2001).