A. Initial Filings. An issuer planning to offer and sell securities in this state in an offering exempt under Tier 2 of federal Regulation A shall submit the following at least 21 calendar days prior to the initial sale in this state:
- (1) A completed Uniform Notice of Regulation A—Tier 2 Offering filing form, or copies of all documents filed with the Securities and Exchange Commission;
- (2) A consent to service of process on Form U-2 if not filing on the Uniform Notice of Regulation A—Tier 2 Offering filing form; and
- (3) A non-refundable filing fee of five hundred dollars.
- B. Term. The notice filing is effective for twelve months from the date of the filing with this state.
C. Renewals. For each additional twelve-month period in which the same offering is continued, an issuer conducting a Tier 2 offering under federal Regulation A may renew its notice filing by filing the following on or before the expiration of the notice filing:
- (1) The Uniform Notice of Regulation A—Tier 2 Offering filing form marked “renewal” and a cover letter or other document requesting renewal; and
- (2) A non-refundable renewal fee of five hundred dollars.
HISTORY: Added by SCSR 44-6 Doc. No. 4912, eff June 26, 2020.