(a) Requirements. A registration statement under Arkansas Code § 23-42-402 of the Arkansas Securities Act, Arkansas Code § 23-42-101 et seq., shall contain the following information and be accompanied by the following documents in addition to the information specified in Arkansas Code § 23-42-404(c) of the Arkansas Securities Act and the consent to service of process required by Arkansas Code § 23-42-107(a) of the Arkansas Securities Act:
- (1) One (1) copy of the latest form of prospectus filed under the Securities Act of 1933, 15 U.S.C. § 77a et seq.;
- (2) A copy of the articles of incorporation and bylaws or their substantial equivalents currently in effect, a copy of any agreements with or among underwriters, a copy of any indenture or other instrument governing the issuance of the security to be registered, and a specimen or copy of the security;
- (3) The maximum underwriting and selling discounts or commissions;
- (4) A signed or conformed copy of an opinion of counsel as to the legality of the security being registered;
- (5) The name of the broker-dealer or agent registered under the Arkansas Securities Act who will be effecting transactions in the securities being registered in this state;
- (6) Any other information or copies of any documents required to be filed under Form U-1;
- (7) An undertaking to forward all amendments to the federal registration statement, other than an amendment which merely delays the effective date of the registration statement, not later than the first business day after they are forwarded to or filed with the United States Securities and Exchange Commission or a longer period as the Securities Commissioner permits; and
- (8) Any other information the commissioner may require or permit.
- (b) Effectiveness. The commissioner will certify the effectiveness of the registration statement by issuing a letter or electronic notification stating effectiveness, but the failure to issue notification shall not delay the effectiveness of a registration statement meeting the requirements of Arkansas Code § 23-42-402(c) of the Arkansas Securities Act.