IN.gov - Skip Navigation

Note: This message is displayed if (1) your browser is not standards-compliant or (2) you have you disabled CSS. Read our Policies for more information.

Securities Division > Resources for > Securities Securities

Frequently Asked Questions

What are the initial filing requirements for a Registration by Coordination (RC)?

  • U1
  • U2
  • U2A
  • Prospectus
  • Copy of Registration Statement
  • filing fee is 1/20 of 1% of the amount offered in Indiana with a minimum of $250.00 and a maximum of $1,000.00

Are there any other filing requirements for an RC?

  • annual report filed on Form SD75
  • termination reported on Form SD76
  • notify Securities Division of filing any new Prospectus and Audited Financial Statements on EDGAR

What happens when an RC expires?

  • initial registration expires at the end of one year
  • there is no renewal process
  • to continue selling these securities, the issuer must refile according to the initial filing requirements

What is the initial filing requirements for a Registration by Qualification (RQ)?

  • U1
  • U2
  • U2A
  • Prospectus
  • Exhibits
  • Advertising Materials
  • filing fee is 1/20 of 1% of the amount offered in Indiana with a minimum of $250.00 and a maximum of $1,000.00

Are there any other filing requirements for an RQ?

  • quarterly report filed on Form SD71
  • annual report filed on Form SD75
  • termination reported on Form SD76
  • notify Securities Division of filing any new Prospectus and Audited Financial Statements on EDGAR

What is required for an RQ renewal

  • initial registration expires at the end of one year
  • there is no renewal process
  • to continue selling these securities, the issuer must refile according to the initial filing requirements

What are the initial filing requirements for an Investment Company (IC)?

  • Form NF
  • filing fee is $500 for an issuer with net assets not exceeding $10 million and $1,000 for all other issuer

What are the annual filing requirements for an IC?

  • Form SD84 or Form NF (Sales Report)
  • renewal fee is $250.00 plus 1/20th of 1% of the excess of the dollar amount of securities sold during the fiscal year over the amount redeemed, total fee not to exceed $2,500.00 in any one year
  • termination reported on Form NF with final Sales Report and only the sales fee due

What are the self-executing securities exemptions?

  • All transactional exemptions under Ind. Code § 23-19-2-2 are self-executing

Is there a filing fee for a Uniform Limited Offering Exemption (ULOE)?

  • No, there is no filing fee

What is the filing requirement for a Rule 504 ULOE?

  • File the following items 10 days prior to the first offer of sale in Indiana
  • U2
  • U2A
  • Private Placement Memo or Prospectus
  • cover letter
  • File a Form D

What is the filing requirement for a Rule 505 ULOE?

  • File the following items 10 days prior to the first offer of sale in Indiana
  • U2
  • U2A
  • Private Placement Memo or Prospectus
  • cover letter
  • File a Form D

What is the filing requirement for a Rule 506 ULOE?

  • File the following items within 15 days after first sale in Indiana
  • Form D
  • No filing fee

Stay Connected

You are leaving the IN.gov website. By clicking OK, you will be taken to a website that is not affiliated with the State of Indiana and may have different privacy and security policies. The State of Indiana is not responsible for, and does not endorse, guarantee, or monitor content, availability, viewpoints, products, or services that are offered or expressed on this non IN.gov portal website.