02 DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION 032 OFFICE OF SECURITIES Chapter 528: FEDERAL A” TIER 2 NOTICE FILINGS AND FEES “REGULATION SUMMARY: This chapter outlines notice filing and fee requirements for securities offerings made Tier 2 of federal Regulation A and Section 18(b)(3) of the Securities Act of 1933. Section 1. Definitions have the same meaning as is set forth in 32 M.R.S. §16102(1). “Administrator” A” means 251-263, 17 C.F.R. Securities and Exchange Commission Rules “Regulation §§ 230.251- 230.263, promulgated pursuant to Sections 3 and 19 of the Securities Act of 15 U.S.C. §§ 77c and 77s. 1933, A - Tier 2 Notice Filing Form” means a form adopted by the Administrator “Regulation for filing with the Maine Office of Securities for initial Tier 2 filings, renewal Tier 2 filings, and amendments to Tier 2 filings. 18(b)(3) of the means 15 U.S.C. §77r(b)(3). Securities Act of 1933” “Section or shall have the same meaning as is set forth in 32 M.R.S. “Security” “Securities” §16102(28). 2” means Tier 2 of A.” “Tier “Regulation Section 2. Authority The Securities Administrator’s authority to promulgate this rule is contained in 32 M.R.S. §§ 16302 and 16605. Section 3. Notice filing and fees The following provisions apply to offerings made under Tier 2 of federal Regulation A and Section 18(b)(3) of the Securities Act of 1933: Initial filing. An issuer planning to offer and sell securities in this state in an offering exempt under Tier 2 of federal Regulation A shall submit the following at least 21 calendar days prior to the initial sale in this state: A completed Regulation A Tier 2 Notice Filing Form or copies of all – documents filed with the Securities and Exchange Commission;
02 DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION 032 OFFICE OF SECURITIES Chapter 528: FEDERAL “REGULATION A” TIER 2 NOTICE FILINGS AND FEES SUMMARY: This chapter outlines notice filing and fee requirements for securities offerings made Tier 2 of federal Regulation A and Section 18(b)(3) of the Securities Act of 1933. Section 1. Definitions “Administrator” have the same meaning as is set forth in 32 M.R.S. §16102(1). “Regulation A” means Securities and Exchange Commission Rules 251-263, 17 C.F.R. §§ 230.251- 230.263, promulgated pursuant to Sections 3 and 19 of the Securities Act of 1933, 15 U.S.C. §§ 77c and 77s. “Regulation A - Tier 2 Notice Filing Form” means a form adopted by the Administrator for filing with the Maine Office of Securities for initial Tier 2 filings, renewal Tier 2 filings, and amendments to Tier 2 filings. “Section 18(b)(3) of the Securities Act of 1933” means 15 U.S.C. §77r(b)(3). “Security” or “Securities” shall have the same meaning as is set forth in 32 M.R.S. §16102(28). “Tier 2” means Tier 2 of “Regulation A.” Section 2. Authority The Securities Administrator’s authority to promulgate this rule is contained in 32 M.R.S. §§ 16302 and 16605. Section 3. Notice filing and fees The following provisions apply to offerings made under Tier 2 of federal Regulation A and Section 18(b)(3) of the Securities Act of 1933: Initial filing. An issuer planning to offer and sell securities in this state in an offering exempt under Tier 2 of federal Regulation A shall submit the following at least 21 calendar days prior to the initial sale in this state: A completed Regulation A – Tier 2 Notice Filing Form or copies of all documents filed with the Securities and Exchange Commission;