Form 203-P - Notice Under Section 203(P) Of The Pennsylvania Securities Act Of 1972

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FORM 203-P
TDD/AT&T Relay Center: 1-800-654-5984
INSTRUCTION SHEET
EFFECTIVE: 10/12/74
REVISED: 12/23/04
PENNSYLVANIA SECURITIES COMMISSION
Eastgate Office Building, 2nd Floor, 1010 N. 7th Street
Harrisburg, PA 17102-1410
(717) 787-8061
(1-800-600-0007 in PA)
NOTICE UNDER SECTION 203(p) OF THE
PENNSYLVANIA SECURITIES ACT OF 1972
NOTE: Under regulation 603.011, a document is not deemed filed with the Commission unless
complete and properly executed in all material respects.
WHO MUST FILE: Issuers offering or selling securities in this Commonwealth in reliance upon
Section 203(p) of the Act.
WHERE TO FILE: At the Commission’s Harrisburg office not later than five business days before
the issuer receives from any person an executed subscription agreement or other contract to
purchase the securities being offered or the issuer receives consideration from any person
therefor, whichever is earlier.
General Instructions
1.
One manually signed copy and one photocopy of the Form and two copies of all
attachments must be filed with the Pennsylvania Securities Commission. If mailed, it is
advisable to send registered or certified mail, postage prepaid, return receipt requested.
2.
Typewrite or print all answers in the space provided. Answer each item completely. An
answer of “not applicable” is inappropriate. If the space is insufficient, attach a schedule
to the Form and make reference to each item included in the schedule.
3.
The Form filed with the Commission must be manually signed by the issuer. If the issuer
is a corporation, it should be signed in the name of the corporation by an executive officer
duly authorized; if a partnership, it should be signed in the name of the partnership by
a general partner; if an unincorporated association or other organization, not a
partnership, this Form should be signed in the name of such organization by a person
responsible for the direction or management of its affairs.
4.
In the event that, at any time from the date of filing of the Form with the Commission
until the conclusion of the offering, any material statement made in the Form or in any
attachment thereto becomes incorrect or inaccurate in any material respect, the issuer
shall file an amendment with the Commission in accordance with § 609.011 (relating to
amendment filings with the Commission) within 5 business days of the occurrence of the
event which required the filing of the amendment.
5.
In lieu of answering any specific question in the Form, the issuer may incorporate by
reference information contained in any document attached thereto or previously filed
with the Commission. Any reference should be to the page and paragraph number or
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