Application For Registration Of Securities By Announcement-Secondary Download Free Print-Only PDF OR Purchase Interactive PDF Version of this Form
Application For Registration Of Securities By Announcement-Secondary Form. This is a North Dakota form and can be use in Blue Sky Secretary Of State.
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Tags: Application For Registration Of Securities By Announcement-Secondary, S-1A, North Dakota Secretary Of State, Blue Sky
Securities Department
600 E Boulevard Ave - Dept 414
Bismarck, ND 58505
(701) 328-2910
www.ndsecurities.com
APPLICATION FOR REGISTRATION OF SECURITIES
BY ANNOUNCEMENT - SECONDARY
SECURITIES DEPARTMENT
SFN 54147 (8-2004)
Under Section 10-04-07.1 of the Securities Act of 1951 as amended.
Dealer Applicant
Address
City
State
Zip Code
Principal Office Address
City
State
Zip Code
Title of Securities Being Registered
Current Market
Bid
Ask
Last Twelve Month Low
Last Twelve Month Low
Bid
Last Twelve Month Low
Ask
4
5
Average for Period
Name of Issuer of Securities Being Registered
Last Twelve Month High
Last Twelve Month High
Bid
Last Twelve Month High
Ask
Earnings History per share for 5 years (except for newer companies)
1
2
3
Subject securities have been outstanding and in the hands of the public for not less than one year.
No
Yes
Include a financial statement or Offering Circular containing a financial statement not more than 12 months old. If not available, indicate date when ready.
Subject Securities Previously Registered
In North Dakota
Date of Latest Registration
With Securities & Exchange Commission
If the securities being registered are life insurance company stocks qualifying under the second paragraph of Section 10-0407.1 of the North Dakota Securities Act of 1951, as amended, please supply information as stated in Subsection 1 of Section
10-04-07.1.
Securities entitled to registration by announcement may be registered only by a dealer registered in the office of the
commissioner.
The filling fee is twenty-five dollars ($25.00).
The undersigned under oath says that he/she has executed the foregoing application for and on behalf of the applicant named
above; that he/she is ___________________________ of such applicant and is fully authorized to execute and file such
application; that he/she has read such application and knows the contents; and that to the best of his/her knowledge and
belief the statement made in such application and the exhibits enclosed are true.
Registered Dealer
Corporate
Seal
By
Date
Signature and Official Capacity of Person Filing for Registered Dealer
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