Section 26-B242. NOTICE FILING FOR SECURITIES COVERED UNDER SECTION 18(B)(4)(D)--SEC REGULATION D

 

An issuer of a security that is a federal covered security under Section 18(b)(4)(D) of the Securities Act of 1933 shall submit a notice filing with the Commissioner. A notice filing under this section shall contain the following information and be accompanied by the following documents and fee:

 

(a)Securities and Exchange Commission Form D;

 

(b)Form U-2, consent to service of process, within 15 days of the first sale of a federal covered security in the District; and,

 

(c)Pay a filing fee as provided in § 249.8.

 

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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).