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Securities Division > Resources for > Securities Securities

Frequently Asked Questions

What are the initial filing requirements for a Registration by Coordination (RC)?

  • U1
  • U2
  • U2A
  • Prospectus
  • Copy of Registration Statement
  • filing fee is 1/20 of 1% of the amount offered in Indiana with a minimum of $250.00 and a maximum of $1,000.00

Are there any other filing requirements for an RC?

  • annual report filed on Form SD75
  • termination reported on Form SD76
  • notify Securities Division of filing any new Prospectus and Audited Financial Statements on EDGAR

What happens when an RC expires?

  • initial registration expires at the end of one year
  • there is no renewal process
  • to continue selling these securities, the issuer must refile according to the initial filing requirements

What is the initial filing requirements for a Registration by Qualification (RQ)?

  • U1
  • U2
  • U2A
  • Prospectus
  • Exhibits
  • Advertising Materials
  • filing fee is 1/20 of 1% of the amount offered in Indiana with a minimum of $250.00 and a maximum of $1,000.00

Are there any other filing requirements for an RQ?

  • quarterly report filed on Form SD71
  • annual report filed on Form SD75
  • termination reported on Form SD76
  • notify Securities Division of filing any new Prospectus and Audited Financial Statements on EDGAR

What is required for an RQ renewal

  • initial registration expires at the end of one year
  • there is no renewal process
  • to continue selling these securities, the issuer must refile according to the initial filing requirements

What are the initial filing requirements for an Investment Company (IC)?

  • Form NF
  • filing fee is $500 for an issuer with net assets not exceeding $10 million and $1,000 for all other issuer

What are the annual filing requirements for an IC?

  • Form SD84 or Form NF (Sales Report)
  • renewal fee is $250.00 plus 1/20th of 1% of the excess of the dollar amount of securities sold during the fiscal year over the amount redeemed, total fee not to exceed $2,500.00 in any one year
  • termination reported on Form NF with final Sales Report and only the sales fee due

What are the self-executing securities exemptions?

  • All transactional exemptions under Ind. Code § 23-19-2-2 are self-executing

Is there a filing fee for a Uniform Limited Offering Exemption (ULOE)?

  • No, there is no filing fee

What is the filing requirement for a Rule 504 ULOE?

  • File the following items 10 days prior to the first offer of sale in Indiana
  • U2
  • U2A
  • Private Placement Memo or Prospectus
  • cover letter
  • File a Form D

What is the filing requirement for a Rule 505 ULOE?

  • File the following items 10 days prior to the first offer of sale in Indiana
  • U2
  • U2A
  • Private Placement Memo or Prospectus
  • cover letter
  • File a Form D

What is the filing requirement for a Rule 506 ULOE?

  • File the following items within 15 days after first sale in Indiana
  • Form D
  • No filing fee