21 Va. Admin. Code § 5-60-20

Current through Register Vol. 41, No. 6, November 4, 2024

Section 21VAC5-60-20 - Required reports of securities registrants

Registrants whose securities are registered pursuant to §§ 13.1-508 and 13.1-510 of the Code of Virginia must file the following reports:

1. A report of any material changes regarding the issuer or the terms of the offering.

2. A copy of the issuer's unaudited financial statements for the period beginning on the date of the certified balance sheet or the certified financial statements and ending on such a date as the Commission may require.

3. The reports must be filed six months after the registration statement is effective and continue to be filed at six month intervals so long as the registration statement remains effective.

4. The issuer may incorporate the reports into the prospectus being utilized and submit the document to the Commission.

5. Registrants whose securities are registered pursuant to 21VAC5-30-50 are exempt from compliance with this section.

21 Va. Admin. Code § 5-60-20

Derived from Rule 701, Case No. SEC810005, eff. July 1, 1981; amended by Case No. SEC810010, eff. August 15, 1981.

Statutory Authority

§ 13.1-523 of the Code of Virginia.