3 AAC 08.080 - Application to register securities

(a) An application to register securities for distribution in this state may be filed with the administrator in substantially the form and content required by the appropriate application form, together with the exhibits required for applications for registration by notification, coordination, or qualification, as the case may be. The uniform NASAA Form U-1, or its successor, filed with the SEC, will also be accepted for offerings. Forms will be supplied upon request, at a nominal cost.

(b) A copy of the proposed prospectus may be filed as a part of the application for registration in lieu of furnishing the information in item-and-answer form. If this procedure is followed, the text of the items of the form must be omitted from the registration statement, as well as from the prospectus.

(c) If any items of a form call for information not required to be included in the prospectus, the text of those items together with the answers to the items must be filed with the prospectus under cover of the facing sheet as a part of the application for registration. If any of those items is inapplicable, or the answer to any of those items is in the negative, a statement to that effect must be made. Any financial statements not required to be included in the prospectus but required for registration must be filed as a part of the application for registration, unless incorporated by reference.

(d) An application for registration must include a table of contents or a cross-reference sheet showing the location in the prospectus of the required information in response to the items of the form. If any item is inapplicable, or the answer to the item is in the negative and is omitted from the prospectus, a statement to that effect must be made.

(e) A person filing an application to register securities under AS 45.55 must at the time of filing the application pay a fee as provided in 3 AAC 08.920(a) (5).

Notes

3 AAC 08.080

Eff. 2/20/72, Register 41; am 9/8/91, Register 119; am 4/19/2000, Register 154

Authority:AS 45.55.070

AS 45.55.100

AS 45.55.110

AS 45.55.950