Filing Rule for Securities Offered under Regulation D, Rule 506

Thursday, January 1, 2009

This Regulation sets forth the requirements for the notice filing and the required fees with respect to certain federal covered securities; specifically, securities involved in private offerings exempt from federal registration under Rule 506 of Regulation D. Initial notice filing fee of $600.00 with an annual renewal fee of $600.  Please make check payable to the “Department of Financial Regulation.

REG-S-08-0148.44 KB

These documents are not legal documents but are placed here for reference purposes only. For a legal copy please contact the department.