Registration By Qualification
Pursuant To Section 36b-18 of the
Connecticut Uniform Securities Act
Section 36b-18 of the Act governs the offer and sale of securities to be registered by qualification. An issuer who proposes register securities by qualification, including offerings which are qualified with the Securities and Exchange Commission under Regulation A, must submit the following items and information to the Securities and Business Investments Division:
l. Application to Register Securities (Form U-1).
2. Consent to Service of Process.
3. Corporate Resolution (Form U-2A).
4. Filing fee required under Section 36b-19(b) of the Act (minimum $300.00, maximum $1,500.00).
5. A disclosure document meeting the requirements of Section 36b-18(b)(1) through (b)(12) and Section 36b-18(b)(16) of the Act.
6. The information required by Section 36b-19(c) of the Act.
7. A copy of any prospectus, pamphlet, circular, form letter, advertisement or other sales literature.
8. A specimen or copy of the security being registered.
9. Subscription Agreement.
10. Certificate of Limited Partnership.
11. Partnership Agreement.
12. A signed or conformed copy of an opinion of counsel stating whether the security when sold will be legally issued, fully paid and nonassessable.
13. The written consent of any accountant, engineer, appraiser or other person whose profession gives authority to a statement made by him if any such person is named as having prepared or certified a report or valuation other than a public and official document or statement which is used in connection with the registration.