Securities Offerings

UNIFORM LIMITED OFFERING

  • Electronic filings of the notice of sale on Form D that was filed with the Securities and Exchange Commission and payment of a $300 filing fee to the Commissioner of Securities through the Electronic Filing Depository (EFD) System.
  • In the alternative, submission of a paper copy of the notice of sale on Form D that was filed electronically with the Securities and Exchange Commission and payment of a $300 filing fee to the Commissioner of Securities.
  • Form D must be filed no later than 15 days after the first sale in Louisiana
  • Subsequent Form D filings must be provided at any time they are required to be filed with the Securities and Exchange Commission under Section 503 of Regulation D, including the annual filing required by Section 503(a)(3)(iii)
  • Notice filing begins at time of receipt
  • Changes to SEC Regulation D – FAQs

PUBLIC OFFERING

  • $250 Examination fee
  • Registration fee of 1/10 of 1 percent of the offering amount (minimum $100 and maximum $1,000)
  • One check payable to the Commissioner of Securities may accompany both fees
  • Registration begins at the time of receipt and expires 12 months from that date
  • Form U1 – Uniform Investment Company Notice Filing
  • Form U2 – Consent to Service of Process (appointing the Commissioner of Securities)
  • Disclosure Requirement for Securities Registered by Qualification

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