14 Ill. Adm. Code 130.APPENDIX B
B Uniform Application to Register Securities
Section 130.APPENDIX B
Uniform Application to Register Securities
UNIFORM APPLICATION TO REGISTER SECURITIES
Application to
of
the State of
pursuant to Section
of the
.
1.
Name and address of Issuer and
principal office in this state:
2.
Name, address and telephone
number of correspondent to whom notices and communications regarding this
application may be sent:
3.
Name and address of applicant:
4.
Registration or acceptance for
filing is sought for the following described securities in the amounts
indicated:
Total
Offering
Offering
in this State
Offering
Price or Proposed Offering Price
No.
of Shares or Units
Amount
No.
of Shares or Units
Amount
Description
of Securities
$
$
Totals
$
$
Indicate the maximum
commission to be charged:________%
5.
Amount of filing and
examination fees which are enclosed: $______ $______
6.
A Registration Statement was
filed with the Securities and Exchange
Commission on
and (became) (will become)
(date)
effective on
(date)
7.
(a)
List the states in which it is
proposed to offer the securities for sale to the public.
(b)
List the states, if any, in
which the securities are eligible for sale to the public.
(c)
List the states, if any, which
have refused, by order or otherwise, to authorize sale of the securities to
the public, or have revoked or suspended the right to sell the securities, or
in which an application has been withdrawn.
8.
Submitted herewith as a part
of this application are the following documents (documents on file may be
incorporated by reference):
(a)
One copy of the Registration
Statement and two copies of Prospectus in the latest form on file under the Securities
Act of 1933.
(b)
Underwriting Agreement,
Agreement among Underwriters, and Selected Dealers Agreement.
(c)
Indenture.
(d)
Issuer's charter or articles
of incorporation as amended to date.
(e)
Issuer's by-laws as amended to
date.
(f)
Signed copy of opinion of
counsel filed with Registration Statement pursuant to the Securities Act of
1933.
(g)
Specimen (type of security)
(h)
Consent to service of process
accompanied by appropriate corporate resolution.
(i)
If an earning computation or
similar requirement is required to be met in this state, attach a separate
sheet as an exhibit showing compliance.
(j)
One copy of all advertising
matter to be used in connection with the offering.
(k)
Others (list each):
9.
The applicant hereby applies
for registration or acceptance for filing of the above described securities
under the law cited above and in consideration thereof agrees so long as the
registration remains in effect that it will:
(a)
Advise the above named state
authority of any change prior to registration in this state in any of the
information contained herein or in any of the documents submitted with or as
a part of this application.
(b)
File with the above named
state authority within two business days after filing with the Securities and
Exchange Commission (i) any amendments other than delaying amendments to the
federal registration statement, designating the changed, revised or added material
or information by underlining the same; and (ii) the final prospectus, or any
further amendments or supplements thereto.
(c)
Notify the above named state
authority within two business days (i) upon the receipt of any stop order, denial,
order to show cause, suspension or revocation order, injunction or
restraining order, or similar order entered or issued by any state or other
regulatory authority or by any court, concerning the securities covered by
this application or other securities of the issuer currently being offered to
the public; and (ii) upon the receipt of any notice of effectiveness of said
registration by the Securities and Exchange Commission.
(d)
Notify the above named state
authority at least two business days prior to the effectiveness of said
registration with the Securities and Exchange Commission of (i) any request
by the issuer or applicant to any other state or regulatory authority for
permission to withdraw any application to register the securities described
herein; and (ii) a list of all states in which applications have been filed
where the issuer or applicant has received notice from the state authority
that the application does not comply with state requirements and cannot or
does not intend to comply with such requirements.
(e)
Furnish promptly all such
additional information and documents in respect to the issuer or the
securities covered by this application as may be requested by the above named
state authority prior to registration or acceptance for filing.
Date
Name of Applicant
By
(Name
and Title)
STATE OF
)
ss.
COUNTY OF
)
The
undersigned
, being
first duly sworn, deposes and says:
That he has executed the
foregoing application for and on behalf of the applicant
named therein; that he is
of such
applicant and is fully authorized
to execute
and file such application; that he is familiar with such application; and
that to the best of his knowledge, information and belief the statements made
in such application are true and the documents submitted therewith are true
copies of the originals thereof.
Name
Subscribed and sworn to before
me this _____day of __________________, 19 _____
NOTARY
PUBLIC
In and for the County of
State of
My Commission Expires:
(Notarial
Seal)