Securities Regulation


 

 

Regulation D, Rule 506 Checklist
[Section 18(b)(4)(D) of the Securities Act of 1933]

 

See RSA 421-B:11, I-a (e)

INITIAL FILING REQUIREMENT

The following documents must be submitted to the Bureau:

  1. Filing fee of $500, check (certified or otherwise) made payable to the "State of New Hampshire".

  2. Form D (pages 1-8)

FILING PERIOD

  1. The filing must be made with the Bureau no later than 15 days after the first sale in New Hampshire. As long as all forms and fees are submitted correctly, the filing is made effective the date it is received.

ADDITIONAL FILING REQUIREMENTS AND CONSIDERATIONS

  1. The name of the person responsible for distributing the securities on the issuer's behalf. The Issuer must determine whether that individual needs to be licensed or authorized to offer or sell the securities, or is exempt therefrom. See RSA 421-B:2, II and RSA 421-B:6, I. (See Issuer-Dealers and Agents)

  2. There is an annual renewal fee of $500 for continuing offerings. The fee is due on or before the date that the notice became effective in New Hampshire.

 

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