6 Del. Admin. Code § 200-D-407

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

Section 200-D-407 - Notice Filings for SEC Tier 2 Regulation A Filings

(a) Initial filing. An issuer planning to offer or sell securities in Delaware exempt from registration under Tier 2 of Regulation A, Rule 251(a)(2) and Section 18(b)(3) of the Securities Act of 1933, shall submit the following prior to the initial offer and/or sale:

(1) A completed Regulation A - Tier 2 notice filing form or copies of all documents filed with the Securities and Exchange Commission;

(2) A consent to service of process on Form U-2 if not filing on the Regulation A - Tier 2 notice filing form; and

(3) The filing fee prescribed by Section 73-208(c) and Rule 404(d).

(b) Effective period. The initial notice filing is effective for twelve months.

6 Del. Admin. Code § 200-D-407

20 DE Reg. 728 (3/1/2017) (Final)