Securities

Frequently Asked Questions

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

  • U1
  • U2
  • U2A
  • Prospectus
  • Copy of Registration Statement
  • Applicable North American Securities Administrators Association (NASAA) Cross-Reference Sheet

Are there any other filing requirements for an RC?

  • Annual report filed on State Form 37149 or Form 10-K
  • Termination reported on Form SD-76
  • File with the Securities Division all fillings submitted to the Securities and Exchange Commission (SEC)

Is there a renewal process available for RCs?

  • No, there is no renewal process for RCs
  • Initial registrations expire at the end of one year
  • 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
  • Applicable North American Securities Administrators Association (NASAA) Cross-Reference Sheet
  • Filing Fee of $500.00

Are there any other filing requirements for an RQ?

  • Quarterly report filed on State Form 11442
  • Annual report filed on State Form 37149
  • Termination reported on Form SD-76
  • Notify the Securities Division of filing any new Prospectus, Amendments, and Supplements

Is there a renewal process available for RQs?

  • No, there is no renewal process for RQs
  • Initial registrations expire at the end of one year
  • To continue selling these securities, the issuer must refile according to the initial filing requirements

What are the initial filing requirements for a Federally Covered Security (FCS)?

  • Form NF
  • Filing fee of $900.00

What is the renewal process for an FCS?

  • File form NF prior to the initial filing's expiration date
  • Pay the filing fee of $900.00
  • File a termination report on Form NF for any terminated funds

What are the self-executing securities exemptions?

  • Exemptions under Ind. Code § 23-19-2-2(1) through (23) are self-executing
  • Exemptions under Ind. Code § 23-19-2-2(24), (25) and (26) require a notice filing
  • Exemptions under Ind. Code § 23-19-2-2(27) require a notice filing and additional materials upon Commissioner’s request
  • Exemptions under Ind. Code § 23-19-2-2(28) require a notice filing and consent to service of process
  • Exemptions under Ind. Code § 23-19-2-2(29) require a notice filing and consent to service of process

What are the filing requirements for offerings under Regulation D?

  • File a form D within 15 days after the first sale in Indiana
  • No filing fee is required to submit a Form D
  • Upon written request, the Commissioner may ask for any additional information the issuer furnished to offerees