Rules & Regulations of the State of Tennessee
Title 0780 - Commerce and Insurance
Subtitle 0780-04 - Division of Securities
Chapter 0780-04-02 - Securities Registration and Exemptions
Section 0780-04-02-.14 - NOTICE FILINGS FOR SECURITIES SOLD TO ACCREDITED INVESTORS
Universal Citation: TN Comp Rules and Regs 0780-04-02-.14
Current through September 24, 2024
(1) All issuers who wish to offer securities in or into this state in reliance on the exemption afforded to sales of securities to accredited investors, as set forth in T.C.A. § 48-1-103(b)(14), must file with the commissioner no later than fifteen (15) days after the first sale:
(a) One (1) copy of the form entitled
"Notice of Sale of Securities Pursuant to Accredited Investor Exemption", as
provided by the Division;
(b) A
Form U-2 Uniform Consent to Service of Process;
(c) One (1) copy of the general announcement,
if one is made regarding the proposed offering;
(d) A non-refundable filing fee in the amount
of five hundred dollars ($500); and
(e) A statement noting the date of the first
sale, if any, of such security in this state.
Authority: T.C.A. §§ 48-1-103(b)(14), 48-1-115, 48-1-116, 48-1-124, and Public Acts of 2001, Chapter 278.
Disclaimer: These regulations may not be the most recent version. Tennessee 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.
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