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§16305.__Securities registration filings |
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| | | 1.__Who may file.__A registration statement may be filed by | | the issuer, a person on whose behalf the offering is to be made | | or a broker-dealer registered under this chapter. |
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| | | 2.__Filing fee.__A person filing a registration statement | | shall pay a nonrefundable filing fee of $1,000 for each type or | | class of security offered, except that for a registration | | statement filed under section 16304 for an offering for which the | | total amount raised in state and out of state does not exceed | | $1,000,000 the nonrefundable filing fee is $300 for each type or | | class of security offered. |
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| | | 3.__Status of offering.__A registration statement filed under | | section 16303 or 16304 must specify: |
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| | | A.__The amount of securities to be offered in this State; |
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| | | B.__The states in which a registration statement or similar | | record in connection with the offering has been or is to be | | filed; |
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| | | C.__Any adverse order, judgment or decree issued in | | connection with the offering by a state securities | | regulator, the Securities and Exchange Commission or a | | court; and |
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| | | D.__The states in which a registration statement was filed | | and withdrawn. |
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| | | 4.__Incorporation by reference.__A record filed under this | | chapter or the predecessor act within 5 years preceding the | | filing of a registration statement may be incorporated by | | reference in the registration statement to the extent that the | | record is currently accurate. |
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| | | 5.__Nonissuer distribution.__In the case of a nonissuer | | distribution, information or a record may not be required under | | subsection 9 or section 16304 unless it is known to the person | | filing the registration statement or to the person on whose | | behalf the distribution is to be made or unless it can be | | furnished by those persons without unreasonable effort or | | expense. |
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| | | 6.__Escrow and impoundment.__A rule adopted or order issued | | under this chapter may require as a condition of registration | | that a security issued within the previous 5 years or to be | | issued to a promoter for a consideration substantially less than | | the public offering price or to a person for a consideration |
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