Sec.36b-31-17a. Registration of securities by coordination

(a) A person seeking to register by coordination a security for which a registration statement has been filed under the Securities Act of 1933 in connection with the same offering shall file Forms U-1 and U-2 with the commissioner. A broker-dealer registered under the Act may omit Form U-2.

(b) Each application for registration by coordination shall also include a copy of the issuer's articles of incorporation and by-laws or their substantial equivalents currently in effect, a copy of any agreements with or among underwriters, a copy of any indenture or other instrument governing the issuance of the security to be registered, a specimen or copy of the security, an opinion of counsel regarding the issuance of the securities and a list of broker-dealers or agents of the issuer registered under the Act who may offer the securities in this state.

(Effective August 22, 1994; TransferredJuly 3, 1995)