Section 409.3-304 – Securities registration by qualification.
Effective – 01 Sep 2003 409.3-304. Securities registration by qualification. — (a) A security may be registered by qualification under this section. (b) A registration statement under this section must contain the information or records specified in section 409.3-305, a consent to service of process complying with section 409.6-611, and, if required by rule adopted […]
Section 409.3-305 – Securities registration filings.
Effective – 01 Sep 2003 409.3-305. Securities registration filings. — (a) 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 act. (b) A person filing a registration statement shall pay a filing fee of one hundred dollars. Each […]
Section 409.3-306 – Denial, suspension, and revocation of securities registration.
Effective – 01 Sep 2003 409.3-306. Denial, suspension, and revocation of securities registration. — (a) The commissioner may issue a stop order denying effectiveness to, or suspending or revoking the effectiveness of, a registration statement if the commissioner finds that the order is in the public interest and that: (1) The registration statement as of […]
Section 409.3-307 – Waiver and modification.
Effective – 01 Sep 2003 409.3-307. Waiver and modification. — The commissioner may waive or modify, in whole or in part, any or all of the requirements of sections 409.3-302, 409.3-303, and 409.3-304(b) or the requirement of any information or record in a registration statement or in a periodic report filed pursuant to section 409.3-305(i). […]
Section 409.3-301 – Securities registration requirement.
Effective – 01 Sep 2003 409.3-301. Securities registration requirement. — It is unlawful for a person to offer or sell a security in this state unless: (1) The security is a federal covered security; (2) The security, transaction, or offer is exempted from registration under sections 409.2-201 to 409.2-203; or (3) The security is registered […]
Section 409.3-302 – Notice filing.
Effective – 28 Aug 2020, 2 histories 409.3-302. Notice filing. — (a) With respect to a federal covered security, as defined in Section 18(b)(2) of the Securities Act of 1933 (15 U.S.C. Section 77r(b)(2)), that is not otherwise exempt under sections 409.2-201 to 409.2-203, a rule adopted or order issued under this act may require […]
Section 409.3-303 – Securities registration by coordination.
Effective – 01 Sep 2003 409.3-303. Securities registration by coordination. — (a) A 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 under this section. (b) A registration statement and accompanying records under this section must contain or […]