Regulation D, Rule 506 Notice Filing Requirements

Signing an application

Effective July 1, 2009

One copy of the new electronic version of the Form D may be filed. It is not necessary that the signature in Part D and Part E of Form D be original.

It is not necessary to include the Form U-2 or the appendix when using the newly adopted Form D.

The notice filing is effective for a period of one (1) year from the date the filing is received by the department.

There is no renewal provision. Should the offering proceed beyond the one (1) year period, it is necessary to re-file the same documents and fee as were originally filed, except Form U-2 which may be incorporated by reference.

No commission or other remuneration may be paid for soliciting any prospective buyer in this state, except to a dealer and agent registered in the state.

The filing fee shall be $100 in the event the filng is made within 15 days after the date of the first sale in the state.

The filing fee shall be $250 in the event the filing is not made within 15 days after the date of the first sale in the state.

Please make check payable to the NORTH DAKOTA SECURITIES DEPARTMENT.

An amendment is to be filed in the event the name of the issuer changes while the filing is in an active status.

Department Contacts

Securities Registration Contact (Harold)

Harold Kocher

Chief Examiner
600 East Boulevard Avenue State Capitol, 5th Floor
Bismarck, ND 58505-0510
Phone:
(701) 328-4703
Toll Free:
(800) 297-5124
Fax:
(701) 328-2946