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(a) An application to register securities for distribution in this state may be filed with the administrator in substantially the form and content required by the appropriate application form, together with the exhibits required for applications for registration by notification, coordination, or qualification, as the case may be. The uniform NASAA Form U-1, or its successor, filed with the SEC, will also be accepted for offerings. Forms will be supplied upon request, at a nominal cost.
(b) A copy of the proposed prospectus may be filed as a part of the application for registration in lieu of furnishing the information in item-and-answer form. If this procedure is followed, the text of the items of the form must be omitted from the registration statement, as well as from the prospectus.
(c) If any items of a form call for information not required to be included in the prospectus, the text of those items together with the answers to the items must be filed with the prospectus under cover of the facing sheet as a part of the application for registration. If any of those items is inapplicable, or the answer to any of those items is in the negative, a statement to that effect must be made. Any financial statements not required to be included in the prospectus but required for registration must be filed as a part of the application for registration, unless incorporated by reference.
(d) An application for registration must include a table of contents or a cross-reference sheet showing the location in the prospectus of the required information in response to the items of the form. If any item is inapplicable, or the answer to the item is in the negative and is omitted from the prospectus, a statement to that effect must be made.
History: Eff. 2/20/72, Register 41; am 9/8/91, Register 119; am 4/19/2000, Register 154
Authority: AS 45.55.070
Note to HTML Version:
The Alaska Administrative Code was automatically converted to HTML from a plain text format. Every effort has been made to ensure its accuracy, but neither Touch N' Go Systems nor the Law Offices of James B. Gottstein can be held responsible for any possible errors. This version of the Alaska Administrative Code is current through June, 2006.
If it is critical that the precise terms of the Alaska Administrative Code be known, it is recommended that more formal sources be consulted. Recent editions of the Alaska Administrative Journal may be obtained from the Alaska Lieutenant Governor's Office on the world wide web. If any errors are found, please e-mail Touch N' Go systems at E-mail. We hope you find this information useful. Copyright 2006. Touch N' Go Systems, Inc. All Rights Reserved.
Last modified 7/05/2006