§ 5301. 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 5201 through 5203 of this chapter; or (3) the security is registered under this […]
§ 5302. Notice filing (a) With respect to a federal covered security, as defined in 15 U.S.C. § 77r(b)(2), that is not otherwise exempt under sections 5201 through 5203 of this title, a rule adopted or an order issued under this chapter may require the filing of any or all of the following records: (1) […]
§ 5303. Securities registration by coordination (a) A security for which a registration statement has been filed under 15 U.S.C. § 77a et seq. 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 be accompanied by the […]
§ 5304. 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 5305 of this chapter, a consent to service of process complying with section 5611 of this chapter, and, if required by rule […]
§ 5305. 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 chapter. (b) A person filing a registration statement shall pay a filing fee of $600.00. A person filing a registration statement in connection […]
§ 5306. 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 its effective date or before […]
§ 5307. Waiver and modification The Commissioner may waive or modify, in whole or in part, any or all of the requirements of sections 5302 and 5303 and subsection 5304(b) of this chapter or the requirement of any information or record in a registration statement or in a periodic report filed pursuant to subsection 5305(i) […]
