21.20.140  <<  21.20.180 >>   21.20.190

Registration by coordinationRequirementsStatement, contents.

Any security for which a registration statement has been filed under the securities act of 1933 or any securities for which filings have been made pursuant to regulation A pursuant to subsection (b) of Sec. 3 of the securities act in connection with the same offering may be registered by coordination. A registration statement under this section shall contain the following information and be accompanied by the following documents, in addition to payment of the registration fee prescribed in RCW 21.20.340 and, if required under RCW 21.20.330, a consent to service of process meeting the requirements of that section:
(1) One copy of the prospectus, offering circular and/or letters of notification, filed under the securities act of 1933 together with all amendments thereto;
(2) The amount of securities to be offered in this state;
(3) The states in which a registration statement or similar document in connection with the offering has been or is expected to be filed;
(4) Any adverse order, judgment or decree previously entered in connection with the offering by any court or the securities and exchange commission;
(5) If the director, by rule or otherwise, requires a copy of the articles of incorporation and bylaws (or their substantial equivalents) currently in effect, a copy of any agreements with or among underwriters, a copy of any indenture or other instrument governing the issuance of the security to be registered, and a specimen or copy of the security;
(6) If the director requests, any other information, or copies of any other documents, filed under the securities act of 1933;
(7) An undertaking to forward promptly all amendments to the federal registration statement, offering circular and/or letters of notification, other than an amendment which merely delays the effective date; and
(8) If the aggregate sales price of the offering exceeds one million dollars, audited financial statements and other financial information prepared as to form and content under rules adopted by the director.


FindingsConstruction1994 c 256: See RCW 43.320.007.
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