D.C. Mun. Regs. tit. 26, r. 26-B242

Current through Register Vol. 72, No. 2, January 10, 2025

Rule 26-B242 - NOTICE FILING FOR SECURITIES COVERED UNDER SECTION 18(B)(4)(D)-SEC REGULATION D

An issuer of a security that is a federal covered security under Section 18(b)(4)(D) of the Securities Act of 1933 shall submit a notice filing with the Commissioner. A notice filing under this section shall contain the following information and be accompanied by the following documents and fee:

(a) Securities and Exchange Commission Form D;

(b) Form U-2, consent to service of process, within 15 days of the first sale of a federal covered security in the District; and,

(c) Pay a filing fee as provided in § 249.8.

D.C. Mun. Regs. tit. 26, r. 26-B242

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)