Corporate & Securities Law

Between September 15, 2008 and March 16, 2009, issuers offering or selling securities under Rule 504, 505 or 506 of federal Regulation D, or Section 3(a)(11) of the Securities Act of 1933 and Rule 147, that intend to claim the Kansas uniform limited offering, Rule 506 or accredited investor exemptions must file:

* Temporary Form D; or
* Printed version of the notice of sale on Form D that was filed electronically with the SEC

A paper filing with $250 made payable to the Kansas Securities Commissioner must be sent to the Office of the Kansas Securities Commissioner at 618 South Kansas Avenue, Topeka, Kansas 66603-3804. Form D must be filed no later than 15 calendar days after the first sale of the securities in Kansas, unless the 15th days falls on a Saturday, Sunday or holiday, in which case the due date is the first business day following. NOTE: Late filings are subject to a late filing fee.

Link to the Kansas Securities Commissioner's office.

Click here for SEC Release 33-8891.

Link to Edgar access code information.

Full post as published by Jim Hamilton's World of Securities Regulation on November 13, 2008 (boomark / email).