Chapter 20:08:07 - Notice filings for covered securities and registration exemptions

  1. § 20:08:07:01 - Notice filing for open-end investment companies
  2. § 20:08:07:02 - Notice filing for closed-end investment companies
  3. § 20:08:07:03 - Notice filing for unit investment trusts
  4. § 20:08:07:03.01 - Notice filing for face-amount certificate company
  5. § 20:08:07:03.02 - Notice filing for Rule 504, and 506 Reg. D offerings
  6. § 20:08:07:04 - Notice filing for Rule 506 Reg. D offerings.Repealed
  7. § 20:08:07:05 - Notice filing for industrial revenue bonds.Repealed
  8. § 20:08:07:06 - Other covered securities.Repealed
  9. § 20:08:07:07 - Institutional buyer definition.Repealed
  10. § 20:08:07:08 - Excluded securities.Repealed
  11. § 20:08:07:09 - Government issued securities.Repealed
  12. § 20:08:07:10 - Credit enhancements.Repealed
  13. § 20:08:07:11 - Bank securities.Repealed
  14. § 20:08:07:12 - Securities listed on exchanges.Repealed
  15. § 20:08:07:13 - Nonprofit corporations
  16. § 20:08:07:14 - Commercial paper.Repealed
  17. § 20:08:07:15 - Employee stock purchase plan.Repealed
  18. § 20:08:07:16 - Notice requirements for employee stock purchase plan.Repealed
  19. § 20:08:07:17 - Foreign cooperatives
  20. § 20:08:07:18 - Isolated non-issuer transaction.Repealed
  21. § 20:08:07:19 - Secondary trading.Repealed
  22. § 20:08:07:20 - Unsolicited orders
  23. § 20:08:07:21 - Real estate and mortgage-backed securities
  24. § 20:08:07:22 - Original incorporator and subscriber.Repealed
  25. § 20:08:07:23 - Sales to existing security holders/standby commissions
  26. § 20:08:07:24 - Limited offerings general rules
  27. § 20:08:07:25 - Intrastate limited offering transactional exemption
  28. § 20:08:07:26 - Uniform limited offering exemption - Reg. A, Reg. D, Rule 504, Rule 505, and SCOR.Repealed
  29. § 20:08:07:27 - Testing-the-waters exemption
  30. § 20:08:07:28 - Preliminary offering circulars.Repealed
  31. § 20:08:07:29 - Model accredited investor exemption
  32. § 20:08:07:30 - Manual exemption
  33. § 20:08:07:31 - Viatical settlements
  34. § 20:08:07:32 - Canadian-United States cross-border trading exemption
  35. § 20:08:07:33 - Church extension fund securities
  36. § 20:08:07:34 - Solicitation of interest
  37. § 20:08:07:35 - Merger and consolidation
  38. § 20:08:07:36 - Designated foreign jurisdiction
  39. § 20:08:07:37 - Twenty-five purchasers exempt transaction
  40. § 20:08:07:38 - Entities for economic development
  41. § 20:08:07:39 - Isolated non-issuer exemption
  42. § 20:08:07:40 - Request for Transactional Exemption Pursuant to a Fairness Determination
  43. § 20:08:07:41 - Notice Filing Requirement for Federal Crowdfunding Offerings
  44. § 20:08:07:42 - Notice Filing Requirement for Regulation A - Tier 2 Offering
  45. § 20:08:07:43 - Transactional exemption from registration of issuers that comply with ongoing reporting requirements under Tier 2 of Regulation A
  46. Appendix A - Statement of Issuer Form, repealed, 37 SDR 112, effective December 9, 2010, version 19
  47. Appendix B - Report of Sales Form, repealed, 37 SDR 112, effective December 9, 2010, version 12
  48. Appendix C - Consent to Service of Process Form U-2, repealed, 37 SDR 112, effective December 9, 2010, version 6
  49. Appendix D - Form D, repealed, 37 SDR 112, effective December 9, 2010, version 6
  50. Appendix E - Solicitation of Interest Form, repealed, 37 SDR 112, effective December 9, 2010, version 4
  51. Appendix F - Model Accredited Investor Form, repealed, 37 SDR 112, effective December 9, 2010, version 3
  52. Appendix G - Form NF, repealed, 37 SDR 112, effective December 9, 2010, version 2

State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.

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