D.C. Mun. Regs. tit. 26, r. 26-B241

Current through Register Vol. 71, No. 50, December 13, 2024

Rule 26-B241 - NOTICE FILING OF SECURITIES COVERED UNDER SECTIONS 18(B)(3) AND 18(B)(4)(A)-(C) OF THE SECURITIES ACT OF 1933

241.1

An issuer that intends to offer or sell federal covered securities under § 18(b)(3) or (b)(4)(A) --(C) of the Securities Act of 1933 shall submit a notice filing with the Department. A notice filing under this section shall contain the following information and be accompanied by the following fees and documents:

(a) A copy of each document filed, if any, with the SEC under the Securities Act of 1933 with respect to the offer or sale of federal covered securities;

(b) Form U-2, Uniform Consent to Service of Process; and,

(c) Pay a filing fee as provided in § 249.7.

D.C. Mun. Regs. tit. 26, r. 26-B241

Amended by Emergency Rulemaking published at 47 DCR 9910 (December 15, 2000) [EXPIRED]; as amended by Emergency Rulemaking published at 48 DCR 1987 (March 2, 2001) [EXPIRED]; as amended by Emergency and Proposed Rulemaking published at 48 DCR 3952 (May 4, 2001) [EXPIRED]; as amended by Emergency and Proposed Rulemaking published at 48 DCR 9177 (October 5, 2001) [EXPIRED]; as amended by Final Rulemaking published at 48 DCR 10879 (November 30, 2001)