What filing requirements does the Securities Division have for SEC Rule 504 under the Uniform Limited Offering Exemption?

Published 08/12/2009 01:02 PM   |    Updated 12/27/2013 03:37 PM
What filing requirements does the Securities Division have for SEC Rule 504 under the Uniform Limited Offering Exemption?

* File the following items 10 days prior to the first offer of sale in Indiana
* Private Placement Memo or Prospectus
* cover letter
* File a Form D within 15 days after first sale in Indiana
There is no filing fee.* cover letter

* File a Form D within 15 days after first sale in Indiana

* Filing fee is 1/20 of 1% of the amount offered in Indiana with a  minimum of $250.00 and a maximum of $1,000.00

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