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Regulation D, Rule 506
[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:
-
Filing fee of $500, check
(certified or otherwise) made payable to the "State of
New Hampshire".
-
Form D
(pages
1-8)
FILING PERIOD
-
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
-
A statement is required
indicating the date of the first sale made in this
state.
-
The names of any
broker-dealer who will effect transactions in this
state or 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)
-
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.
MISCELLANEOUS
-
No sales report is required if the issuer submits the
Appendix to Form D to the Bureau at the initial filing
stage and indicates the number and amount of sales in
New Hampshire
AND CLEARLY STATES IN WRITING NO FURTHER SALES WILL BE
MADE. Otherwise,
a sales report must be submitted within 60 days of
termination of the offering or annually for continuous
offerings.
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