Section 26-B202. REGISTRATION BY COORDINATION

 

202.1A securities offering for which a registration statement has been filed with the Securities and Exchange Commission ("SEC) under the Securities Act of 1933 may be registered by coordination.

 

202.2A registration statement filed under this section shall contain the following information and be accompanied by the following documents and fee:

 

(a)A completed application Form U-1, Uniform Application to Register Securities, and a statement specifying the amount of securities sold in the District;

 

(b)An irrevocable consent appointing the Commissioner agent for service of process, executed by the applicant on Form U-2, Uniform Consent to Service of Process;

 

(c)Two copies of the latest prospectus or offering circular filed under the Securities Act of 1933;

 

(d)A filing fee as provided in § 249.1;

 

(e)Any other document or information requested by the Commissioner before the effective date of the offering.

 

202.3A registration by coordination shall become effective in the District simultaneously with the registration statement filed with the SEC, provided the following conditions have been met:

 

(a)All documents and information required by § 241 and any other information required by § 303 of the Act or these regulations for registration by coordination have been filed with the Department;

 

(b)No stop order is in effect and a proceeding is not pending under § 307 of the Act (D.C. Offical Code § 31-5603.07);

 

(c)The registration statement has been filed with the Department for at least 10 business days;

 

(d)A statement of the maximum and minimum proposed offering prices and the maximum underwriting discounts and commissions have been on file with the Department for at least two full business days; and,

 

(e)The fee required by § 202.2(d) has been received by the Department.

 

202.4Any amendments and addendums to the registration statement filed with the SEC shall also be filed promptly with the Department. No fee is required for amendments, except for amendments that increase the number of shares or dollar amount that was originally reported.

 

202.5The issuer shall notify the Department in writing when the offering is concluded.

 

202.6The Commissioner will permit the use of the Uniform Application Form adopted by the National Association of Securities Commissioners and the Uniform Application to Register Securities (Form U-1) adopted by the Midwest Securities Commissioners Association to satisfy the requirements of § 303(b) of the Act, provided, however, that no instruction, undertaking, or other matter appearing in the forms shall be deemed to modify, or in any way affect, the application of the requirements of the Act and of the rules and regulations under it to the registration.

 

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).