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Corporate & Securities Law

: Jim Hamilton's World of Securities Regulation

By Jim Hamilton

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Utah Proposes Amendments to 506 Notice Filing Rule to Allow for Electronic Form D

Proposed amendments to its 506 offering rule by the Utah Securities Division would permit issuers to file either: (1) Temporary Form D until March 15, 2009; or (2) a copy of the notice of sales on Form D filed electronically with the SEC until an electronic filing system acceptable to the Division is implemented by NASAA. Other proposed amendments would clarify filing requirements related to manual signatures, consent to service of process forms, date-of-sale disclosures, and amended filings.

The proposed amendments may take effect as early as December 8, 2008.

Interested persons may submit written comments about the rule proposal by December 1, 2008, to the Division of Securities, 160 East 300 South, 2nd Floor Salt Lake City, Utah 84111. Direct questions about the proposed amendments may be sent to Benjamin N. Johnson at the above address, or by phone at 801-530-6134, by fax at 801-530-6980, or by email to bnjohnson@utah.gov.

The Utah Securities Division website is http://www.securities.utah.gov/

Full post as published by Jim Hamilton's World of Securities Regulation on November 04, 2008 (boomark / email).