Application To Register Securities Form. This is a Connecticut form and can be use in Blue Sky Secretary Of State.
Tags: Application To Register Securities, CT3, Connecticut Secretary Of State, Blue Sky
Form U-1 or CT-3 APPLICATION TO REGISTER SECURITIES Application to the Department of Banking of the State of Connecticut pursuant to The Connecticut Uniform Securities Act. For Filing By: (check one) Coordination - Section 36b-17 Qualification - Section 36b-18 1. Name and address of Issuer: Principal office in this State: 2. Name, address and telephone number of correspondent to whom notices and communications regarding this application may be sent: 3. Name and address of applicant: 4. Registration or acceptance for filing is sought for the following described securities in the amounts indicated: Offering Price or Proposed Offering Price Description of Securities Total Offering No. of Shares or units Amount Offering in this state No. of Shares or units Amount $ $ Totals Indicate the maximum commission to be charged: $ $ % 5. Amount of filing fee which is enclosed: $ (One-tenth of one percent of the maximum aggregate offering amount in Connecticut: Minimum $300.00/Maximum $1500.00) 6. A Registration Statement (was filed) (is expected to be filed) with the Securities and Exchange Commission on and is expected to become effective on or about (date) . (date) American LegalNet, Inc. www.USCourtForms.com 7. (a) List the states in which it is proposed to offer the securities for sale to the public: (b) List the states, if any, in which the securities are eligible for sale to the public. (c) List the states, if any, which have refused, by order or otherwise, to authorize sale of securities to the public, or have revoked or suspended the right to sell the securities, or in which an application has been withdrawn. 8. Submitted herewith as a part of this application are the following documents (documents on file may be incorporated by reference): (a) One copy of the Registration Statement and (3) copies of Prospectus in the latest form on file under the Securities Act of 1933. (b) Agreement Among Underwriters, Underwriting Agreement, and Selected Dealers Agreement. (c) Indenture. (d) Issuer's charter or articles of incorporation as amended to date. (e) Issuer's by-laws as amended to date. (f) Signed copy of opinion of counsel filed with Registration Statement pursuant to the Securities Act of 1933. (g) Specimen (type of security). (h) Consent to Service of Process accompanied by the appropriate corporate resolution. (i) If an earning computation or similar requirement is required to be met in this state, attach a separate sheet as an exhibit showing compliance. (j) One copy of all advertising matter to be used in connection with the offering. (k) Others (list each): 9. The applicant hereby applies for registration or acceptance for filing of the above registered securities under the law cited above and in consideration thereof agrees so long as the registration remains in effect that it will: (a) Advise the above named state authority of any change prior to registration in this state in any of the information contained herein or in any of the documents submitted with or as a part of this application. (b) File with the above named state authority within two business days after filing with the Securities and Exchange Commission (i) any amendments other than delaying amendments to the federal registration statement, designating the changed, revised or added material or information by underlining the same; and (ii) the final prospectus, or any further amendments or supplements thereto. American LegalNet, Inc. www.USCourtForms.com (c) Notify the above named state authority within two business days (i) upon the receipt of any stop order, denial, order to show cause, suspension or revocation order, injunction or restraining order, or similar order entered or issued by any state or other regulatory authority or by any court, concerning the securities covered by this application or other securities of the issuer currently being offered to the public; and (ii) upon the receipt of any notice of effectiveness of said registration by the Securities and Exchange Commission. (d) Notify the above named state authority at least two business days prior to the effectiveness of said registration with the Securities and Exchange Commission of (i) any request by the issuer or applicant to any other state or regulatory authority for permission to withdraw any application to register securities described herein; and (ii) a list of all states in which applications have been filed where the issuer or applicant has received notice from the state authority that the application does not comply with state requirements and cannot or does not intend to comply with such requirements. (e) Furnish promptly all such additional information and documents in respect to the issuer or the securities covered by this application as may be requested by the above named state authority prior to registration or acceptance for filing. Date: Name of Applicant By (Name and Title) State of ) ) ) ) County of ss ) The undersigned, duly sworn, deposes and says: , being first That he has executed the foregoing application for and on behalf of the applicant named therein; that he is the of such applicant and is fully authorized to execute and file such application; that he is familiar with such application; and that to the best of his knowledge, information and belief the statements made in such application are true and the documents submitted therewith are true copies of the originals thereof. Name Subscribed and sworn to before me this day of , 20 . NOTARY PUBLIC My Commission Expires: (Notarial Seal) American LegalNet, Inc. www.USCourtForms.com FOR AN ACKNOWLEDGMENT OF THE FILING OF THIS APPLICATION COMPLETE THE LEFT COLUMN BELOW Name and address of correspondent State of File Number Applicant Date Examiner Issuer Telephone Name of any broker-dealer or agent of issuer registered to do business under this chapter who may offer the securities in this state: American LegalNet, Inc. www.USCourtForms.com