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Maine Regulation A Notice Filing Form

Maine Regulation A Notice Filing Form

Category:

Secretary of State - Blue Sky - Securities

State:

Maine

Control #:

ME-SKU-0154

Format:

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Description

Regulation A Notice Filing Form
Maine Regulation A Notice Filing Form is a document required by the Maine Department of Professional and Financial Regulation to receive notice from companies filing for exemptions from the state’s securities laws. The notice filing form must be completed and submitted to the department with the supporting documents for the exemption. There are three types of Maine Regulation A Notice Filing Forms, including Form A-1 for an exemption from registration for a company’s offering of its securities; Form A-2 for an exemption from registration for a company’s sale of its securities to a qualified institutional buyer; and Form A-3 for an exemption from registration for a company’s sale of its securities to a qualified investor. The forms include information such as the company’s name, contact information, type of exemption sought, and the names and contact information of the company’s authorized representatives.

Maine Regulation A Notice Filing Form is a document required by the Maine Department of Professional and Financial Regulation to receive notice from companies filing for exemptions from the state’s securities laws. The notice filing form must be completed and submitted to the department with the supporting documents for the exemption. There are three types of Maine Regulation A Notice Filing Forms, including Form A-1 for an exemption from registration for a company’s offering of its securities; Form A-2 for an exemption from registration for a company’s sale of its securities to a qualified institutional buyer; and Form A-3 for an exemption from registration for a company’s sale of its securities to a qualified investor. The forms include information such as the company’s name, contact information, type of exemption sought, and the names and contact information of the company’s authorized representatives.

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Form D is used to file a notice of an exempt offering of securities with the SEC. Directions: Provide contact information for all executive officers, directors, and promoters.Attach additional continuation pages if necessary. Form D is a form for a notice required to be filed with the Securities and Exchange Commission. (a) A completed Regulation A Tier 2 notice filing form or copies of all documents filed with the Securities and Exchange Commission. Full Requirements for Notice Filing of Regulation A – Tier 2 offerings Can be found in V.S.R. § 4-3(d). 503), the notice may be a copy of the form first filed pursuant to those provisions. Please see the links below for the form and the temporary order. Corporate Finance Section Overview; Fee Schedule; Securities Registration and Exemption Filings FAQs; Statutes and Regulations; Forms and Information. (1) A completed Regulation A – Tier 2 Notice Filing Form or copies of all documents filed with the Securities and Exchange Commission;.

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