Code of Maine Rules
02 - DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION
032 - OFFICE OF SECURITIES
Chapter 528 - FEDERAL "REGULATION A" TIER 2 NOTICE FILINGS AND FEES
Section 032-528-3 - Notice filing and fees

Universal Citation: 02 ME Code Rules ยง 032-528-3

Current through 2024-38, September 18, 2024

1. The following provisions apply to offerings made under Tier 2 of federal Regulation A and Section 18(b)(3) of the Securities Act of 1933:

A. Initial filing. An issuer planning to offer and sell securities in this state in an offering exempt under Tier 2 of federal Regulation A shall submit the following at least 21 calendar days prior to the initial sale in this state:
(1) A completed Regulation A - Tier 2 Notice Filing Form or copies of all documents filed with the Securities and Exchange Commission;

(2) A consent to service of process on Form U-2, if not filing on the Regulation A - Tier 2 Notice Filing Form; and

(3) The filing fee of $1,000.00.

The initial notice filing is effective for 12 months.

B. Renewal. For each additional 12-month period in which the same offering is continued, an issuer conducting a Tier 2 offering under federal Regulation A may renew its notice filing by filing the following on or before the expiration of the notice filing:
(1) The Regulation A - Tier 2 Notice Filing Form marked "Renewal;"

(2) The renewal filing fee of $1,000.00; and

(3) If the amount of securities subject to the notice filing is being increased, the new total offering amount on the Regulation A - Tier 2 Notice Filing Form or other renewal document submitted.

C. Amendment. An issuer may increase the amount of securities offered in this state by submitting at any time a Regulation A - Tier 2 Notice Filing Form. Submission of an amendment does not change the notice filing period, and no fee is assessed for filing an amendment.

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