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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"
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