18 NCAC 06A .1211         NOTICE FILING PROCEDURES FOR RULE 506 OFFERINGS

An issuer offering a security that is a "covered security" under Section 18(b)(4)(D) of the Securities Act of 1933 shall file a notice on SEC Form D, a consent to service of process on a form prescribed by the Administrator, and pay a fee as established by G.S. 78A-31(b) no later than 15 days after the first sale in this State of such security covered under federal law.  An issuer is not required to file any amendments to a Form D unless the amendment reflects a change in the offering in this State.

History Note:        Authority G.S. 78A-31(b); 78A-49(a);

Temporary Adoption Eff. October 1, 1997;

Eff. August 1, 1998;

Temporary Amendment Eff. November 1, 2002;

Amended Eff. August 1, 2004;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 6, 2016.