Pennsylvania Code
Title 10 - BANKING AND SECURITIES
Part VII - Securities
Subpart B - Registration of Securities
Chapter 204 - EXEMPTION PROCEEDINGS
Section 204.012 - Waivers for pre-effective offers under section 203(h)

Universal Citation: 10 PA Code ยง 204.012
Current through Register Vol. 54, No. 12, March 23, 2024

Under section 204(a) of the act (70 P.S. § 1-204(a)), the Department waives the requirement in section 203(h) of the act (70 P.S. § 1-203(h)) that a registration statement, including a prospectus, be filed with the Department to make offers, but not sales, of securities in this Commonwealth if the issuer of the securities to be offered under the exemption in section 203(h) of the act has filed a registration statement with the Securities and Exchange Commission under the Securities Act of 1933 (15 U.S.C.A. §§ 77a-77aa) before the time offers are made in this Commonwealth in reliance on section 203(h) of the act.

The provisions of this § 204.012 amended under sections 102(k), 202(g)-(i), 203(d), (i.1), (j) and (n)-(t), 204(a), 205(b), 207(g), (i), (j.1), (k) and (n), 209(b), 211(a) and (b), 504(d), 513, 603(a), 606(d) and 609(a) of the Pennsylvania Securities Act of 1972 (70 P.S. §§ 1-102(k), 1-202(g)-(i), 1-203(d), (i.1), (j) and (n)-(t), 1-204(a), 1-205(b), 1-207(g), (i), (j.1), (k) and (n), 1-209(b), 1-211(a) and (b), 1-504(d), 1-513, 1-603(a), 1-606(d) and 1-609(a)); section 202.C of the Department of Banking and Securities Code (71 P.S. § 733-202.C); and section 9(b) of the Takeover Disclosure Law (70 P.S. § 79(b)).

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