- (a) Notice requirement. Issuers offering a security in this state in reliance upon Section 1-301(1) of the Securities Act by reason of compliance with Tier 2 as provided for in Regulation A under the 1933 Act [17 C.F.R. §230.251 through §230.263] shall be required to file a notice with the Administrator pursuant to Section 1-302(C)(2) of the Securities Act. Such notice shall be filed prior to the first offer of securities in this state that is subsequent to qualification of the offering statement by the SEC.
(b) Content of notice. Each required notice shall include the following:
- (1) a completed NASAA Uniform Notice Filing of Regulation A- Tier 2 Offering or copies of all documents filed with the SEC;
- (2) a consent to service of process (if such is not included in the submitted Notice form); and,
- (3) the notice filing fee required by Section 1-612(A)(19) of the Securities Act.
Added at 33 Ok Reg 1838, eff 11-1-16
Amended at 38 Ok Reg 2503, eff 11-1-21
Amended at 42 Ok Reg, Number 20, effective 8-15-25