(a) The following securities may be registered by notification, whether or not they are also eligible for registration by coordination under § 23-42-402: (1) Any security whose issuer and any predecessors have been in continuous operation for at least five (5) years if: (A) There has been no default during the current fiscal year or […]
(a) Any security for which a registration statement has been filed under the Securities Act of 1933 in connection with the same offering may be registered by coordination. (b) A registration statement under this section shall contain the following information and be accompanied by the following documents in addition to the information specified in § […]
(a) Any security may be registered by qualification. (b) A registration statement under this section shall contain the following information and be accompanied by the following documents in addition to the information specified in § 23-42-404(c), and the consent to service of process required by § 23-42-107: (1) With respect to the issuer and any […]
(a) A registration statement may be filed by the issuer, any other person on whose behalf the offering is to be made, or a registered broker-dealer. (b) (1) Every person filing a registration statement shall pay a filing fee of one-tenth percent (0.1%) of the maximum aggregate offering price at which the registered securities are […]
(a) The Securities Commissioner may issue a stop order denying effectiveness to, or suspending or revoking the effectiveness of, any registration statement if he or she finds that: (1) The order is in the public interest; and (2) (A) The registration statement is incomplete in any material respect or contains any statement that was, in […]
