Section 26-B241. NOTICE FILING OF SECURITIES COVERED UNDER SECTIONS 18(B)(3) AND 18(B)(4)(A)--(C) OF THE SECURITIES ACT OF 1933

 

241.1An issuer that intends to offer or sell federal covered securities under § 18(b)(3) or (b)(4)(A)--(C) of the Securities Act of 1933 shall submit a notice filing with the Department. A notice filing under this section shall contain the following information and be accompanied by the following fees and documents:

 

(a)A copy of each document filed, if any, with the SEC under the Securities Act of 1933 with respect to the offer or sale of federal covered securities;

 

(b)Form U-2, Uniform Consent to Service of Process; and,

 

(c)Pay a filing fee as provided in § 249.7.

 

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).