Code of Massachusetts Regulations
950 CMR - OFFICE OF THE SECRETARY OF THE COMMONWEALTH
Title 950 CMR 13.300 - Registration of and notice filings for securities
Section 13.303 - Registration by Qualification

Universal Citation: 950 MA Code of Regs 950.13

Current through Register 1531, September 27, 2024

(A) A person who is registering a security by qualification shall file with the Director Forms U-1 and U-2 (with U-2A, if applicable), and any one of the following:

(1) A registration statement containing the information set forth in M.G.L. c. 110A, § 303(b).

(2) An offering statement which meets the requirements set forth in SEC Regulation A, Rule 252(a) ( 17 CFR 230.252(a)) .

(3) A registration statement on Form U-7, the Small Company Offering Registration Form.

(B) A registration statement filed under 950 CMR 13.303(A) becomes effective when the Secretary so orders.

(C) Except as otherwise provided for in these Rules, anyone offering securities registered pursuant to M.G.L. c. 110A, § 303 shall deliver a prospectus, offering circular or disclosure document to each person to whom an offeris made before or concurrently with any subscription agreement or contractual commitment to purchase the security. This document must conform to that filed with the registration or offering statement.

Disclaimer: These regulations may not be the most recent version. Massachusetts may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.