Okla. Admin. Code § 660:11-11-62

Current through Vol. 41, No. 19, June 17, 2024

Section 660:11-11-62 - Regulation A Tier 2 federal covered security notice filing

(a)Notice requirement. Issuers offering a security in this state in reliance upon Section 1-301.1 of the Securities Act by reason of compliance with Tier 2 of Regulation A, adopted by the SEC, shall be required to file a notice with the Administrator pursuant to the authority of Section 1 302.C. of the Securities Act. Such notice shall be filed prior to the first offer of securities in this state that is subsequent to qualification of the offering statement by the SEC.

(b)Content of notice. Each required notice shall include the following:

(1) a copy of Part I of Federal Form 1-A in conjunction with a completed Oklahoma Notice of Regulation A - Tier 2 Offering form (or equivalent uniform form), or copies of all documents filed with the SEC;

(2) a consent to service of process (if such is not included in the submitted Notice form); and

(3) the notice filing fee required by Section 1-612.A.19. of the Securities Act.

Okla. Admin. Code § 660:11-11-62

Adopted by Oklahoma Register, Volume 33, Issue 24, September 1, 2016, eff. 11/1/2016