II(l) Checklist

  • coveredbridg

    For securities transactions relative to mergers and consolidations, share exchanges, sale of substantially all of the assets and other similar transactions, the issuer may file for an exemption from registration under RSA 421-B:17, II(l).  The filing requirements are as follows: 

    1.  Copy of any and all information furnished to the investor by the issuer (e.g. proxy and shareholder notices, Form S-4 if filing federally, offering circular). 
    2.  Filing must be made to the Bureau at least ten (10) business days prior to the issuance and delivery of the securities. 
    3.  No fee or Form U-2 is required.