18 N.C. Admin. Code 6A.1315

Current through Register Vol. 39, No. 9, November 1, 2024

Section 06A .1315 - NOTICE OF COMPLETION OF OFFERING/FINAL SALES REPORT

Each issuer shall provide to the administrator, within thirty days of completion of the offering of registered securities, the following information:

(1) Date of completion of the offering;

(2) Aggregate offering amount of securities sold in this state expressed in units and dollars;

(3) Except where the offering was made by or through sponsoring dealer(s) pursuant to Rule .1305 of this Section, the aggregate amount of commissions, discounts, finder's fees or other similar remuneration or compensation paid for soliciting any purchasers of the securities in this state, and the name(s) of the person(s) to whom such amount was paid;

(4) Where material deviations of the sources and uses of the proceeds of the offering have occurred as compared with the proposed sources and uses of the proceeds as previously disclosed to the administrator, then the issuer shall provide a written explanation of such deviations; and

(5) Other information as the administrator may require by order.

18 N.C. Admin. Code 06A .1315

Authority G.S. 78A-49(a);
Eff. April 1, 1981;
Amended Eff. January 1, 1984;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 6, 2016.

Authority G.S. 78A-49(a);
Eff. April 1, 1981;
Amended Eff. January 1, 1984.