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Notification Registration Form. This is a Florida form and can be use in Blue Sky Secretary Of State.
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Tags: Notification Registration, OFR-S-3-91, Florida Secretary Of State, Blue Sky
FILE NO. ________________
VAL. NO. ________________
AMT.
DATE ______
FOR OFFICE USE ONLY
STATE OF FLORIDA
OFFICE OF FINANCIAL REGULATION
NOTIFICATION REGISTRATION
SECTION 517.082, FLORIDA STATUTES
(Notification may be made by the issuer, by a registered dealer, by any person on whose behalf the
offering is to be made, or by a duly authorized agent of such person.)
NOTE: The general information required on this form must be supplied by every notifier.
A fee of $1,000 shall accompany every application for registration. Checks should be
payable to: Department of Financial Services.
NOTICE:
THIS FORM IS TO BE USED ONLY WHERE A REGISTRATION STATEMENT COVERING THE
SECURITIES AND OFFERING DESCRIBED HEREIN HAS BEEN FILED WITH THE SECURITIES
AND EXCHANGE COMMISSION AND THERE IS NO PROHIBITION FROM
REGISTRATION UNDER SECTION 517.082(3), FLORIDA STATUTES.
PART I.
GENERAL INFORMATION
Item 1.
Name and address of the issuer and principal office.
Federal Employer
Number:
Identification
(FEID)
Item 2.
Name, address and telephone number of correspondent to whom notice and
communications regarding this notification may be sent.
Item 3.
Name and address of notifier.
Item 4.
Issuer organized under the laws of
______________
Item 5.
Notification Registration under Section 517.082, Florida Statutes, is made for the
securities to be effectively registered under
Date:
SEC Reg. No. ___________________
OFR-S-3-91, Notification Registration, Effective 11/22/10, Incorporated by Reference in Rule 69W-301.002, F.A.C.
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PART II.
NOTIFIER SHALL FURNISH THE FOLLOWING EXHIBITS:
NOT BE INCORPORATED BY REFERENCE
Exhibit 1.
One copy of Initial Registration Statement filed with the Securities and Exchange
Commission unless effective with the SEC upon filing with the Office.
Issuer's Consent to Service of Process and Corporate Resolution to be executed
upon Office forms or appropriate Securities and Exchange Commission forms.
Exhibit 2.
Exhibit 3.
EXHIBITS MAY
One copy of the Final Pricing Amendment/Prospectus.
**For renewal purposes: an issuer need not submit Exhibit 1. A copy of the current prospectus
may be submitted for Exhibit 3.
PART III.
THROUGH EXECUTION OF THIS APPLICATION, NOTIFIER HEREBY
AGREES THAT THE ISSUER OR THE ISSUER'S REPRESENTATIVE WILL:
1. Furnish any other information requested by the Office.
2. Notify the Office by telegraphic notice of effective registration with the SEC within 10
business days of such registration unless effective with the SEC upon filing with the Office.
3. Furnish all documents within 60 days of such registration.
4. Make all sales in Florida through the issuer lawfully registered with the Office as a Dealer
or through any other dealer lawfully registered with the Office.
Signed this
day of
,
.
By signing my name below, I declare that I have read the foregoing application and that the facts
stated in it are true.
________________________________________
NAME OF NOTIFIER
By:
NOTE:
___________________________________
SIGNATURE, AND OFFICIAL CAPACITY
OR PERSON SIGNING FOR NOTIFIER
THE REGISTRATION PURSUANT TO SECTION 517.082, FLORIDA STATUTES, IS SUBJECT
TO RECEIPT OF ALL DOCUMENTS AS REQUIRED.
ALL OFFERS AND SALES IN FLORIDA MUST BE MADE BY THE ISSUER AS A REGISTERED
FLORIDA DEALER OR OTHER REGISTERED FLORIDA DEALERS.
OFR-S-3-91, Notification Registration, Effective 11/22/10, Incorporated by Reference in Rule 69W-301.002, F.A.C.
2
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www.FormsWorkFlow.com