Applications for Registration

PURPOSE: This rule prescribes the forms and other documents required with a registration statement of securities, as well as the notifications that need to be provided to the Securities Division. (1) Registration by Coordination or Qualification. A registration statement to register securities by coordination or qualification shall contain the following: (A) The form U-1 and accompanying documents (including subscription agreement); (B) Two (2) copies of the prospectus, including financial statements; (C) All exhibits filed with the U.S. Securities and Exchange Commission in connection with the registration statement; (D) The filing fee and registration fee specified in 15 CSR 30-50.030; and (E) Any additional information or documents requested by the Securities Division. (2) Warrants and the securities underlying the warrants shall each be registered separately. (3) All applicants for registration shall immediately notify the Securities Division in writing of the following events: (A) Any change to the information in the registration statement; (B) Any stop order, denial, order to show cause, suspension order, revocation order, consent order, cease and desist order, injunction, restraining order, or similar order entered or issued by any state, regulatory authority, or court, regarding the applicant, issuer, their subsidiaries or affiliates; and (C) Any request by the applicant or issuer to any other state or regulatory authority for permission to withdraw any application to register the securities covered by the registration statement. AUTHORITY: sections 409.3-303, 409.3304, 409.3-305, 409.3-307, 409.6-605, and 409.6-611, RSMo Supp. 2013.* Original rule filed Aug. 30, 2002, effective Feb. 28, 2003. Emergency amendment filed Aug. 19, 2003, effective Sept. 12, 2003, expired March 9, 2004. Amended: Filed Aug. 22, 2003, effective Feb. 29, 2004. Amended: Filed Dec. 3, 2013, effective July 30, 2014. *Original authority: 409.3-303, RSMo 2003; 409.3-304, RSMo 2003; 409.3-305, RSMo 2003; 409.3-307, RSMo 2003, 409.6-65, RSMo 2003.