Ohio Admin. Code 1301:6-3-09.3 - Electronic filings
(A) Issuers may elect to submit notice
filings to the division electronically. (4)
(7) A Form U-2
"Uniform Consent to Service of Process" must be submitted if required by section
1707.11 of the Revised
Code.
(1)
Only investment
Investment companies that have registered securities,
or have filed a registration statement, under the Investment Company Act of
1940,
15 U.S.C.
80a-1 et seq., as amended,
or issuers relying on Rule 506 of
Regulation D,
17
CFR 230.506, as amended, eligible tier 2
issuers pursuant to Regulation A,
17 CFR 230.251
et seq., or eligible issuers relying on "Regulation Crowdfunding,"17 CFR
227.100 et seq.,
as amended, may submit electronic filings
to the division.
(2) Investment
companies shall submit a Form NF for electronic filings.
(3) Issuers relying on Rule 506 of Regulation
D,
17
CFR 230.506, as amended, shall file a
Form D for electronic filings.
(4)
Eligible tier 2 issuers relying on Regulation A,
17 CFR 230.251
et seq., shall submit parts I-III of Form 1-A, amendments, "Notice of
Qualification or Withdrawal," annual reports and amendments to annual
reports.
(5)
Eligible issuers relying on "Regulation
Crowdfunding,"17 CFR
227.100 et seq., shall file Form C,
amendments, updates, annual reports, amendments to annual reports and
termination reports.
(6)
The division may require or waive such other additional
information for the protection of investors or to assess the elibibility of the
issuer for notice filing.
(B) Electronic
signatures.
(1) For notice filings submitted
electronically, a typed signature may be accepted in lieu of a manual
signature.
(2) A typed signature
shall have the same legal effect as a manual signature.
(C) Fees.
(1) Fee payment for an electronic filing with
the division shall be transferred through the automated clearing house network
in cash concentration or disbursement entry format by fedwire
transfer.
(2) Investment company
notice filings, eligible Regulation A,
17 CFR 230.251
et seq., tier 2 notice filings, and eligible "Regulation
Crowdfunding,"17 CFR
227.100 et seq., notice filings shall
include fees required under division
divisions (A) (2)(a) and (A)(2)(b) of section
1707.092 of the Revised
Code.
(3) Issuers relying on Rule
506 of Regulation D,
17
CFR 230.506, as amended, shall submit a
one hundred dollar filing fee as required under division (X)(3) of section
1707.03 of the Revised
Code.
(D) Business
hours.
(1) Electronic filings may be submitted
from eight a.m. to five p.m. eastern standard time or eastern daylight time as
applicable.
(2) Electronic filings
may be submitted from Monday to Friday, except for legal holidays as listed in
section 1.14 of the Revised
Code.
(3) An electronic filing is
deemed filed upon receipt of the required forms and fees.
(4) If an issuer in good faith attempts to
submit an electronic filing to the division in a timely manner, but the
transmission is delayed due to technical difficulties, the electronic filer may
request an adjustment to the filing date of the transmission. The division may
grant the request if it appears that such an adjustment is appropriate and
consistent with the public interest and the protection of investors.
(E) Amendments.
(1) Amendments and
supplemental filings to a previously submitted electronic filing shall
include the file number assigned by the division.
(2) Additional fees to amend a previously
submitted electronic filing to increase the offering
amount shall be transferred through the automated clearing house network
in cash concentration or disbursement entry format by fedwire
transfer.
(F) Errors and
omissions. An issuer shall not be subject to the liability and anti-fraud
provisions of Chapter 1707. of the Revised Code with respect to an error or
omission in an electronic filing resulting solely from electronic transmission
errors beyond the control of the electronic filer where the error or omission
is corrected by submitting to the division a filing that contains an amendment
as soon as reasonably practicable after the electronic filer becomes aware of
the error or omission.
Notes
Promulgated Under: 119.03
Statutory Authority: 1707.20
Rule Amplifies: 1707.093
Prior Effective Dates: 01/28/2000, 11/27/2000, 02/01/2001, 09/14/2002, 01/15/2009
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