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02.02.03.00.htm 02.02.03.00. Title 02 OFFICE OF THE ATTORNEY GENERAL Subtitle 02 DIVISION OF SECURITIES Chapter 03 Registration Regulations Authority: Corporations and Associations Article, §11-203, Annotated Code of Maryland
02.02.03.01.htm 02.02.03.01. 01 Prospectus.. A. Scope of Regulation. This regulation prescribes the form and content of the prospectus required to be filed as part of a registration statement for registration of securities by qualification or notification, and to be used in connection with the offering of securities so registered.B. Registration by Qualification. A prospectus filed as part of a registration statement for registration of securities by qualification shall contain all the information requ
02.02.03.02.htm 02.02.03.02. 02 Acceptability of Uniform Forms in Registration by Coordination.. The Commissioner will permit the use of the Uniform Application Form adopted by the North American Securities Administrators Association and the Uniform Application to Register Securities (Form U-1) adopted by the Midwest Securities Commissioners Association in connection with the registration of securities by coordination, provided, however, that no instruction, undertaking, or other matter appea
02.02.03.03.htm 02.02.03.03. 03 Repealed..
02.02.03.04.htm 02.02.03.04. 04 Quarterly Reports on Registered Securities.. A. Except as provided in §B, of this regulation, so long as a registration statement covering securities registered by notification or qualification is effective, the person who filed the registration statement shall file quarterly reports which shall keep reasonably current the information contained in the registration statement and disclose the progress of the offering, (see form SRQ-1, which is annexed hereto) and in a
02.02.03.05.htm 02.02.03.05. 05 Financial Statements Filed As Part of Registration Statements for Registration of Securities by Qualification Notification.A. All financial statements required to be filed as part of registration statements for registration of securities by qualification or notification shall be certified by independent public accountants.B. The Commissioner will not recognize any certified public accountant or public accountant as independent who is not in fact independent. For example
02.02.03.06.htm 02.02.03.06. 06 Escrow Requirements.. A. The Commissioner, in his discretion, shall have the right to require an escrow fund to be established and may, by regulation or order, require as a condition of registration by qualification that the proceeds from the sale of the registered securities be impounded until the issuer receives a special amount. The Commissioner may, by regulation or order, determine the conditions of any escrow or impounding required hereunder, but he may not reje
02.02.03.07.htm 02.02.03.07. 07 Registration by Coordination of Shelf Registrations Pursuant to SEC Rule 415.. A. Initial Registration. Securities which are qualified to be registered on SEC Form S-3 and which are to be offered in series or offered and sold on a continuous or delayed basis pursuant to SEC Rule 415, may be registered by coordination as follows:1) Initial Filing. On filing a Shelf Registration Statement with the SEC pursuant to Rule 415, the registrant shall file a Form U- 1 annexing the Shel
02.02.03.08.htm 02.02.03.08. 08 Filing of Sales and Advertising Literature.. A. Definitions.. 1) "Act" means the Maryland Securities Act.. 2) "Commissioner" means the Securities Commissioner of the State.. 3) "Division" means the Division of Securities of the Office of the Attorney General.. 4) "Regulation" means this regulation.. 5) "Sales and advertising literature" includes any pamphlet, circular, form letter, advertisement or printed advertising communication, films, film strips, television and radi
02.02.03.09.htm 02.02.03.09. 09 Procedure for Renewal of Registration Statement.. A. Definitions. As used in this regulation:. 1) "Effective date" means the date that a registration statement is declared effective by the Commissioner.2) "Expiration/renewal date" means the date that is 1 year from the effective date.. B. Scope of Regulation. This regulation applies to registration statements filed pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510.1, Ann
02.02.03.10.htm 02.02.03.10. 10 Registration of Securities of Investment Companies.. A. Filing Fee.. 1) Subject to the registration provisions of the Maryland Securities Act, Corporations and Associations Article, §11-502, 11-503, and 11-504, Annotated Code of Maryland, a registrant that files pursuant to the Maryland Securities Act, Corporations and Associations Article, §11-510.1, Annotated Code of Maryland, shall pay a $100 filing fee with the initial application for registration.2) A registrant that rene
02.02.03.11.htm 02.02.03.11. 11 Initial and Renewal Registration as Issuer Agent.. A. Definitions.. 1) For purposes of this regulation, the following terms have the meanings indicated.. 2) Terms Defined.. a) "Agent" has the same meaning as set forth in the Maryland Securities Act, Corporations and Associations Article, §11-101(b) Annotated Code of Maryland.b) "Issuer agent" means an agent, other than a broker-dealer agent, who represents an issuer in effecting or attempting to effect the purchase or sale
02.02.03.12.htm 02.02.03.12. 12 Small Corporate Offering Registration.. A. Registration by Qualification. An issuer may register securities by qualification under the Maryland Securities Act, Corporations and Associations Article, §11-504, Annotated Code of Maryland, by using Form U-7 (Small Corporate Offering Registration Form) if the conditions set forth in this regulation and in the instructions to Form U-7 are satisfied.B. Small Corporate Offering Registration Form.. 1) An application to regi
02.02.03.9999.htm 02.02.03.9999. Administrative History Effective date:. Regulations .01―05 effective June 1, 1962. Regulation .03 repealed effective April 15, 1991 (18:7 Md. R. 770). Regulation .06 effective December 1, 1968. Regulation .07 effective December 1, 1972; repealed effective July 1, 1983 (10:6 Md. R. 551). Regulation .07 adopted effective May 7, 1984 (11:9 Md. R. 795). Regulation .08 effective December 1, 1974. Regulation .09 adopted effective August 6, 1990 (17:15 Md. R. 1853).
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