Current through Register Vol. 49, No. 18, September 16, 2024
(1) During the effective period of a
registration statement, except as mentioned in section
(2) below, the registrant shall notify the
Securities Division within fifteen (15) business days of the following:
(A) Any change to any of the documents
contained in the registration statement on file with the Securities
Division.
(B) Any inaccurate,
incorrect, or misleading statements contained in the registration
statement.
(C) Any material change
relating to the issuer, offering or registration statement that includes, but
is not limited to, the following:
1. Change
in issuer's address;
2. Change in
issuer's law firm or accounting firm;
3. Change in risk factors;
4. Change in the use of proceeds;
5. Change in the underwriting or plan of
distribution;
6. Change in
management or control or transactions with management;
7. Change in ownership of principal
properties;
8. Acquisition,
revaluation or disposition of principal assets;
9. Legal proceedings, other than in the
ordinary course of business;
10.
Defaults upon senior or subordinate securities;
11. Release of securities or funds from
escrow or impoundment, or modification of escrow arrangements;
12. Issuance, purchase or exercise of
options;
13. Increase or decrease
in authorized securities;
14.
Change in stock transfer agent;
15.
Change in securities, amount offered, offering price, par value, stock
dividends or splits, rights of shareholders or matters of vote by security
holders; and
16. Change in
financial condition or financial statements, including financial
forecasts.
(D) Any stop
order, denial, order to show cause, suspension order, revocation order, consent
order, cease and desist order, injunction, restraining order, or similar order
entered or issued by any state, regulatory authority or court, regarding the
applicant, registrant, issuer, their subsidiaries or affiliates.
(E) Any request by the registrant or issuer
to any other state or regulatory authority for permission to withdraw any
application to register the securities covered by the registration statement or
of any termination by the issuer of the offering in any state where the
securities are registered.
(F) Any
other information requested by the Securities Division in connection with the
offering or the registration statement.
(2) For registrations by coordination, the
registrant shall promptly forward to the commissioner all amendments and
supplements to the registration statement within one (1) business day after
these documents are filed with the U.S. Securities and Exchange
Commission.
(3) Enclosed with each
amendment shall be a written cover letter that describes the material changes
to the registration statement. Additionally, the amended prospectus shall be
redlined or marked to reflect the changes.
*Original authority: 409.3-303, RSMo 2003; 409.3-304, RSMo
2003; 409.3-305, RSMo 2003; 409.3-306, RSMo 2003, 409.6-605, RSMo
2003.
