Section 26-B203. REGISTRATION BY COORDINATION OF SHELF REGISTRATIONS PURSUANT TO SEC RULE 415 OF THE 1933 ACT

 

203.1Securities which are qualified to be registered on a Shelf Registration Statement with the SEC pursuant to Rule 415, and which are to be offered in series or offered and sold on a continuous or delayed basis, may be registered by coordination by filing the following documents and fee:

 

(a)By filing Form U-1, Uniform Application to Register Securities;

 

(b)Together with any supplements or amendments to the initial registration statement; and

 

(c)A one-time filing fee with the initial registration statement as provided in § 249.2.

 

203.2In all other respects, registrations by coordination of shelf registrations under this section shall comply with the general provisions applicable to registrations by coordination found in § 303 of the Act (D.C. Offical Code § 31-5603.03), and the other applicable provisions of these regulations.

 

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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).