accessIndiana

What are the initial filing requirements for a Registration by Coordination (RC)?

• U1
• U2
• U2A
• Prospectus
• Copy of Registration Statement
• filing fee is 1/20 of 1% of the amount offered in Indiana with a minimum of $250.00 and a maximum of $1,000.00

Are there any other filing requirements for an RC?

• annual report filed on Form SD75
• termination reported on Form SD76
• notify Securities Division of filing any new Prospectus and Audited Financial Statements on EDGAR

What is required for an RC renewal?

• initial registration expires at the end of two years
• there is no renewal process
• to continue selling these securities, the issuer must refile according to the initial filing requirements

What is the initial filing requirements for a Registration by Qualification (RQ)?

• U1
• U2
• U2A
• Prospectus
• Exhibits
• Advertising Materials
• filing fee is 1/20 of 1% of the amount offered in Indiana with a minimum of $250.00 and a maximum of $1,000.00

Are there any other filing requirements for an RQ?

• quarterly report filed on Form SD71
• annual report filed on Form SD75
• termination reported on Form SD76
• notify Securities Division of filing any new Prospectus and Audited Financial Statements on EDGAR

What is required for an RQ renewal

• initial registration expires at the end of two years
• there is no renewal process
• to continue selling these securities, the issuer must refile according to the initial filing requirements

What are the initial filing requirements for an Investment Company (IC)?

• Form NF
• filing fee is $500 for an issuer with net assets not exceeding $10 million and $1,000 for all other issuer

What are the annual filing requirements for an IC?

• Form SD84 or Form NF (Sales Report)
• renewal fee is $250.00 plus 1/20th of 1% of the excess of the dollar amount of securities sold during the fiscal year over the amount redeemed, total fee not to exceed $2,500.00 in any one year
• termination reported on Form NF with final Sales Report and only the sales fee due

What are the self-executing securities exemptions?

• §23-2-1-2(a)(7) - employee stock offering plans
• §23-2-1-2(b)(11) - existing securities holders
• §23-2-1-2(b)(15) - securities issued incident to a merger
• §23-2-1-2(b)(10)(G) - 15 or less accredited investors, 25 or less investors for less than $500,000

Is there a filing fee for a Uniform Limited Offering Exemption (ULOE)?

• No, there is no filing fee

What is the filing requirement for a Rule 504 ULOE?

• File the following items 10 days prior to the first offer of sale in Indiana
• U2
• U2A
• Private Placement Memo or Prospectus
• cover letter
• File a Form D within 15 days after first sale in Indiana

What is the filing requirement for a Rule 505 ULOE?

• File the following items 10 days prior to the first offer of sale in Indiana
• U2
• U2A
• Private Placement Memo or Prospectus
• cover letter
• File a Form D within 15 days after first sale in Indiana

What is the filing requirement for a Rule 506 ULOE?

• File the following items within 15 days after first sale in Indiana
• Form D
• U2