New Jersey Administrative Code › Title 13 - LAW AND PUBLIC SAFETY › Chapter 47A - BUREAU OF SECURITIES › Subchapter 10 - REGISTRATION OF SECURITIES › Section 13:47A-10.4 - Registration by Notification

Current through Register Vol. 56, No. 14, July 15, 2024
(a) A person who seeks to register securities by Notification shall file with the Bureau the following documents and information:
1. A completed application Form U-1, Uniform Application to Register Securities, which shall be accompanied by the following:
i. The New Jersey Addendum, incorporated herein by reference as Appendix A;
ii. One copy of an executed New Jersey Form RN-1, Registration Statement for Registration by Notification, incorporated herein by reference as Appendix B, together with all exhibits;
iii. An original and two copies of an executed New Jersey Form RN-2, Statement of Eligibility for Registration by Notification, incorporated herein by reference as Appendix C;
iv. Three copies of the prospectus if any, in the latest form whether or not printed as a separate document;
v. One copy of the underwriting agreement, agreement among underwriters and selected dealers agreement or similar agreements between the broker-dealer and the person owning the securities to be sold;
vi. One copy of the indenture, if applicable;
vii. One copy of the issuer's charter or articles of incorporation, or if the issuer is not a corporation the similar relevant document, as amended to date;
viii. One copy of the issuer's by-laws as amended to date;
ix. One copy of the signed, unqualified, and unconditional opinion of counsel as to the legality of the security being registered, with a certified English translation if it is in a foreign language, which states that the security, when issued will be legally issued, fully paid, and nonassessable, and, if a debt security, is a binding obligation of the issuer; and if the issuer is a partnership, association or trust, whether the purchasers will be liable for the obligations of the partnership;
x. One copy of a specimen of the security or if not applicable a copy of the document that represents the interest to be sold and the rights of the parties involved;
xi. An irrevocable consent appointing the Chief of the Bureau agent for service of process, executed by the issuer on Form U-2, Uniform Consent to Service of Process, together with a corporate resolution executed by the secretary of that corporation, on Form U-2A, Uniform Corporate Resolution;
xii. One copy of each pamphlet, circular, form letter, advertisement, or other sales literature intended as of the effective date to be used in connection with the offering;
xiii. A check or money order payable to the New Jersey Bureau of Securities, in the amount of $ 3,000 for each registration statement filed with the Bureau. The Bureau may require the applicant to submit a money order or certified check in appropriate instances;
xiv. If the securities are being offered and sold by or through a broker-dealer, the identity of the broker-dealer who will offer and/or sell the securities in or from the State of New Jersey and a statement that such broker-dealer is registered with the Bureau pursuant to 49:3-56(a); and
xv. If the securities are being offered and sold directly by the issuer in or from the State of New Jersey through any bona fide officer, director or employee, the name of such officer, director or employee and a statement that the issuer is relying on an exemption from agent registration for such officer, director or employee or that such officer, director or employee is registered with the Bureau as an agent.