HOME    SEARCH    ABOUT US    CONTACT US    HELP   
           
Prev Next

6.10.149    NOTICE FILING PROCEDURES FOR RULE 506 OFFERINGS

(1) An issuer offering a security that is a covered security under 18(b)(4)(D) of the Securities Act of 1933 shall file a notice on Form D (17 CFR 239.500), a consent to service of process on a form prescribed by the commissioner, and pay the fee required by 30-10-209(1)(a) and (1)(c), MCA, no later than 15 days after the first sale of the security in this state.

(2) For purposes of this rule, the SEC "Form D" is defined as the document, as adopted by the Securities and Exchange Commission and in effect on September 1, 1996, as may be amended by the SEC from time to time, entitled "Form D; notice of sale of securities pursuant to regulation D, section 4(6), and/or uniform limited offering exemption," including part E and the Appendix.

History: 30-10-107, MCA; IMP, 30-10-202, 30-10-211, MCA; NEW, 1999 MAR p. 56, Eff. 1/15/99; TRANS and AMD, to ARM 6.10.210, 2008 MAR p. 2046, Eff. 9/26/08.

Home  |   Search  |   About Us  |   Contact Us  |   Help  |   Disclaimer  |   Privacy & Security