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Application For Coordinated State Review (CER-1) Form. This is a Washington form and can be use in Blue Sky Secretary Of State.
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Tags: Application For Coordinated State Review (CER-1), Washington Secretary Of State, Blue Sky
APPLICATION FOR COORDINATED STATE REVIEW (CER-1)
The Applicant requests that this filing be processed as a Coordinated State Review filing.
Please note that Coordinated Equity Review is available only to offerings of common stock, preferred
stock, warrants, rights and units comprised of equity securities that are also registered (or seeking
registration) with the Securities and Exchange Commission. Blank check and blind pool offering do
not qualify for coordinated review.
Please attach this request to the front of the Form U-1 filed as the Issuer’s application for state
registration and state in bold type in the cover letter accompanying the application that the application
is pursuant to Coordinated Equity Review. Coordinated Equity Review is only available if the issuer
intends to register in two or more of the participating states.
Please indicate below those states participating in Coordinated Equity Review in which you intend to
file for registration. These states should also be listed in item 7 of the Form U-1 in addition to all other
states in which application for registration is being made.1
Alabama (M)
Kansas (M)
New Jersey (D)2
South Dakota (M)
Alaska (M)
Kentucky (M)
New Mexico (M)
Texas (M)
Arizona (M)
Maine (M)
Nevada (D)
Utah (D)
Arkansas (M)
Maryland (D)
North Carolina (D)
Vermont (M)
California (M)
Massachusetts (M)
North Dakota (M)
Virginia (M)
Connecticut (D)
Michigan (M)
Oklahoma (M)
Washington (M)
Delaware (D)
Mississippi (M)
Oregon (M)
West Virginia (D)
Idaho (M)
Missouri (M)
Pennsylvania (M)
Wisconsin (D)
Indiana (M)
Montana (M)
Rhode Island (D)
Iowa (M)
New Hampshire (D)
South Carolina (M)
M = Merit
D = Disclosure
The state of Arizona is acting as the Program Administrator of the Coordinated Equity Review Project.
Please file a copy of this form along with the Registration Statement and Prospectus with the Arizona
Securities Division even if the Issuer does not intend to register its shares for sale in Arizona. There
will be no additional fee for coordinated review. Do not send fees to Arizona unless the issuer intends
to register its securities in Arizona.
1
Because the states of Colorado, Florida, Georgia, Hawaii, Illinois, Louisiana, New York, Wyoming, and the
District of Columbia provide automatic effectiveness for files coordinated with the Securities and Exchange
Commission, those states are not included in the project.
2
Though principally a Disclosure State, New Jersey reserves the right to make substantive comments in select
areas.
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The Applicant attests that all Registration Statements and Prospectuses will be identical in each of the
states listed in the attached Form U-1 and that all applications will be filed contemporaneously in those
states. Subsequent amendments to the Registration Statement will also be filed contemporaneously in
the state identified above. The Coordinated Equity Review process will take a minimum of 30 days.
The applicant should consider this time frame and file the CER-1 as soon as possible after filing with
the SEC.
The Applicant understands that any application filed in a state subsequent to the initial filing will be
reviewed separately. The Applicant should understand that the merit states participating in
Coordinated Equity Review will be using certain NASAA Guidelines as the uniform standard. For
information on the standards to be applied, please contact the Arizona Securities Division at 602-5424242.
The Applicant agrees to resolve comments through the Lead Disclosure and the Lead Merit states until
such time as the Lead states agree that the comment should be resolved through direct contact between
the applicant and the state with the unresolved comment.
____________________________________
Authorized Representative
____________________________________
Print Name
____________________________________
Title
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