RULE 590-4-3-.04 - Contents of Registration Statements

RULE 590-4-3-.04. Contents of Registration Statements

(1) Except as provided in subsection (2) of this Rule, every registration statement filed under Section 10-5-22 or Section 10-5-23 of the Act shall be on Form U-1, as made available on NASAA's website, or electronically in a form containing substantially similar disclosures, as permitted by order of the Commissioner.

(2) The registration statement to be filed under Section 10-5-23 of the Act in connection with any offer or sale of securities offered or sold in compliance with SEC Rule 504 adopted pursuant to the Securities Act of 1933 or Section (4)(5), 15 U.S.C. ยง 77 d(5), of the Securities Act of 1933, and for which a Form D has been filed with the SEC shall consist of the most recently filed Form D, as filed with the SEC, in lieu of the registration statement required in subsection (1) of this Rule. A filing under this subsection shall be made electronically, as permitted by order of the Commissioner.

(Original Rule entitled "Issuer's Quarterly and Annual Reports" adopted as ER. 590-4-3-0.6-.04. F. and eff. Apr. 1, 1974, the date of adoption. Amended: Permanent Rule entitled "Subsequent Developments Material to an Effective Registration Statement" adopted. F. July 5, 1974; eff. July 25, 1974. Repealed: New Rule entitled "Issuer's Quarterly and Annual Reports" adopted. F. Dec. 9, 1980; eff. Dec. 29, 1980. Repealed: New Rule of same title adopted. F. Apr. 13, 1983; eff. May 3, 1983. Amended: F. Sept. 27, 1990; eff. Oct. 17, 1990. Repealed: New Rule of same title adopted. F. Dec. 21, 2004; eff. Jan. 10, 2005. Repealed: New Rule entitled "Contents of Registration Statements" adopted. F. Nov. 18, 2011; eff. Dec. 8, 2011.)

O.C.G.A. Secs. 10-5-6, 10-5-10, 10-5-70, 10-5-74.

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