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COORDINATION FILERS - DON'T BOG YOURSELF DOWN "No Need to File a Whole Pile o' Docs - All We Do is Put 'Em in a Box" |
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Examiner Naomi Church Skims a Typical File |
HOW TO JUMPSTART YOUR FILING
Step 1: Before SEC Effectiveness, file only 4 items:
| 1. | Connecticut Form U-1 Supplement(1 page, file size 48 KB). This form advises us that your EDGAR filing is on-line. |
| 2. | Nonrefundable filing fee payable to "Treasurer, State of Connecticut." |
| 3. | Form U-2 (Consent to Service of Process) (4 pages, file size 104 KB) |
| 4. |
Form U-1 Application to Register Securities (4 pages, legal size; file size 42 KB) |
| Step 2: | During the next 5 business days, we'll advise you of any deficiencies |
| Step 3: | Within 1 business day after SEC Effectiveness, tell us in writing (letter, fax, e-mail) when the registration became effective with the SEC and when you will file the price amendment (if any) via EDGAR |
| Step 4: | You're registered! The Connecticut effectiveness order will be sent to you via regular mail |
| Step 5: |
After effectiveness (1) unless you’ve paid the maximum filing fee of $1,500, advise us in writing (letter; fax; e-mail) of the completion date of the initial distribution, the amount of securities sold in Connecticut and the availability of an exemption for any nonissuer distribution; and (2) tell us that you’ve filed a post-effective amendment via EDGAR (but don’t file the paper version) |
*THE FINE PRINT (EDGAR-FILED ITEMS TO AVOID)
Unless we specifically ask for an item, do NOT not file paper versions of:
| 1. | Prospectus |
| 2. | Pre-effective and post-effective Amendments to the registration statement posted to EDGAR |
| 3. | Undertaking to forward all amendments to the federal prospectus |
| 4. | Issuer's articles of incorporation and by-laws currently in effect |
| 5. | Underwriting agreement |
| 6. | Indenture or other instrument governing issuance of the security |
| 7. | Specimen or copy of the security |
| 8. | Opinion of counsel regarding issuance of the securities |
| 9. | Sales literature |
| 10. | Post-effective filing of a balance sheet and income statement |