Wash. Admin. Code § 460-16A-036 - Renewal of registration of securities by qualification
(1) An issuer may renew the registration of
an offering of securities registered by qualification under
RCW
21.20.210 for one additional twelve-month
period. To renew an offering, the issuer must file the following with the
securities division no later than thirty days prior to the expiration date of
the current registration permit:
(a) A
completed application for registration by qualification marked
"renewal";
(b) A renewal fee of
fifty dollars, as specified in
RCW
21.20.340(1);
(c) A copy of the prospectus or offering
document that has been amended in accordance with WAC
460-16A-126 to reflect all
material changes that affect the offering. The prospectus or offering document
must be dated within the past twelve months;
(d) The financial statements specified in
RCW
21.20.210(14), dated as of
the end of the issuer's most recent fiscal year. If the issuer's fiscal year
ended more than four months prior to the date of application, the issuer should
submit an unaudited interim balance sheet dated within four months prior to the
date of the renewal application; and
(e) A sales report, dated as of the most
recent practicable date, containing the dollar amount of each class of
securities sold in the state during the current registration period.
(2) The registration of an
offering of securities shall not be considered renewed until the securities
division has issued a permit renewing the registration.
(3) An issuer may increase the amount of
securities registered in the state at the time it renews its registration by
amending the application form to reflect the increased amount of securities to
be registered and paying the fee specified in
RCW
21.20.340(1) to register the
additional amount of securities, provided that the total offering amount does
not exceed any offering amount limitations to which the offering is
subject.
Notes
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