Regulation D, Rule 506

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    [Section 18(b)(4)(D) of the Securities Act of 1933] 

    See RSA 421-B:11, I-a(e)  

    INITIAL FILING REQUIREMENT  

    The following documents must be submitted to the Bureau: 

    1.  Filing fee of $500, check (certified or otherwise) made payable to the "State of New Hampshire". 
    2.  Form D (pages 1-8) 

     

    FILING PERIOD 

    1.  The filing must be made with the Bureau no later than 15 days after the first sale in New Hampshire.  As long as all forms and fees are submitted correctly, the filing is made effective the date it is received. 

     

    ADDITIONAL FILING REQUIREMENTS AND CONSIDERATIONS 

    1.  A statement is required indicating the date of the first sale made in this state. 
    2.  The names of any broker-dealer who will effect transactions in this state or the name of the person responsible for distributing the securities on the issuer's behalf.  The issuer must determine whether that individual needs to be licensed or authorized to offer or sell the securities or is exempt therefrom.  See RSA 421-B:2, II and RSA 421-B:6, I.  (See Issuer-Dealers and Agents.) 
    3.  There is an annual renewal fee of $500 for continuing offerings.  The fee is due on or before the date that the notice became effective in New Hampshire. 

     

    MISCELLANEOUS 

    1.  No sales report is required if, at the initial filing stage, the issuer CLEARLY STATES IN WRITING THAT NO FURTHER SALES WILL BE MADE.  Otherwise a sales report must be submitted within 60 days of termination of the offering or annually for continuous offerings.