950 C.M.R. 13.302 – Registration by Coordination

(A) A person who seeks to register by coordination a security for which a registration statement has been filed under the Securities Act of 1933 in connection with the same offering shall file Forms U-1 and U-2 (with U-2A, is applicable). A broker-dealer registered pursuant to M.G.L.
c. 110A, § 202 may omit Form U-2 (and U-2A).
(B) A person filing Form U-1 pursuant to 950 CMR 13.302(A) shall omit the following:
1. (1) Second and third copies of the latest form of prospectus filed under the Securities Act of 1933; and
2. (2) A copy of the articles of incorporation and by-laws, or their substantial equivalents currently in effect, and a specimen or copy of the security.
(C) The Secretary waives the requirement specified in M.G.L. c. 110A, § 302(c)(3) that a registrant file a statement of the minimum proposed offering price two full business days prior to the moment the federal registration becomes effective.
(D) A registration statement filed on SEC Forms F-7, F-8, F-9 or F-10 becomes effective at the moment the federal registration statement becomes effective regardless of whether all of the conditions set forth in M.G.L. c. 110A, § 302(c)(2) or (3) have been satisfied.