6 Del. Admin. Code § 200-D-400

Current through Register Vol. 28, No. 5, November 1, 2024

Section 200-D-400 - Registration by Coordination

(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 person who seeks to register a security by coordination shall file with the Unit the following documents and information:

(1) A completed application Form U-1, Uniform Application to Register Securities;

(2) An irrevocable consent appointing the Investor Protection Director agent for service of process, executed by the issuer on Form U-2, Uniform Consent to Service of Process;

(3) One copy of the registration statement, as amended, filed with the SEC, which shall include (or which information shall otherwise be provided): a specification of the amount of the securities offered in Delaware; the states in which the offering has been or is being made; and any adverse order, judgment or decree entered in connection with the offering by any regulatory authority, court or the SEC;

(4) One copy of the prospectus in the latest form on file with the SEC;

(5) The appropriate filing fee as determined under Rule 404; and

(6) Any other document or information requested by the Unit.

(c) An application for registration by coordination shall become effective in Delaware simultaneously with the registration statement filed with the SEC provided the following conditions have been met:

(1) All documents and information required by (b) above have been filed with the Unit;

(2) No stop order is in effect and no proceeding is pending under Section73-206 of the Act;

(3) The registration statement has been on file with the Unit for at least ten days; and

(4) A statement of the maximum and minimum proposed offering prices and the maximum underwriting discounts and commissions have been on file for at least two business days and the offering is made within those limitations.

6 Del. Admin. Code § 200-D-400

15 DE Reg. 529 (10/01/11)
18 DE Reg. 394 (11/1/2014) (Final)