Registration of Securities Offerings
UNIFORM LIMITED OFFERING
Electronic filings of the notice of sale on Form D that was filed with the Securities and Exchange Commission and payment of a $300 filing fee to the Commissioner of Securities through the Electronic Filing Depository (EFD) System.
In the alternative, submission of a paper copy of the notice of sale on Form D that was filed electronically with the Securities and Exchange Commission and payment of a $300 filing fee to the Commissioner of Securities.
Form D must be filed no later than 15 days after the first sale in Louisiana
Subsequent Form D filings must be provided at any time they are required to be filed with the Securities and Exchange Commission under Section 503 of Regulation D, including the annual filing required by Section 503(a)(3)(iii)
Notice filing begins at time of receipt
Changes to SEC Regulation D - FAQs
PUBLIC OFFERING
$250 Examination fee
Registration fee of 1/10 of 1 percent of the offering amount (minimum $100 and maximum $1,000)
One check payable to the Commissioner of Securities may accompany both fees
Registration begins at the time of receipt and expires 12 months from that date
Form U2 - Consent to Service of Process (appointing the Commissioner of Securities)
Disclosure Requirement for Securities Registered by Qualification
Return to
Securities
Updated
December 09, 2019