Application For Registration Of Securities By Qualification Form - State Of Hawaii Page 2

ADVERTISEMENT

5.
If a registration statement as to the securities has been filed under the Securities Act of 1933, state the effective date of registration
statement, if effective, and state whether any stop order has been made with respect thereto pursuant to said Securities Act of 1933,
or whether any notice of intent to issue a stop order has been given, or, to the best knowledge of the applicant, is threatened.
6.
The states, territories or other jurisdiction, if any, which have refused by order or otherwise to authorize the sale of the securities to the
public, or have revoked or suspended the right to sell the securities, or in which any proceeding for the revocation or suspension of
such right is pending, or in which an application for qualification has been withdrawn.
7.
There shall be submitted a copy of the following:
A.
The issuer's charter or articles of association or other instrument of organization, together with all amendments thereto, certified
by the officer of the state of the issuer's incorporation or organization having custody thereof, if not already on file in the Office of
the Commissioner.
B.
The issuer's by-laws, together with all amendments thereto, certified by the secretary or any other duly authorized officer of the
issuer.
C.
The indenture, if any, and all supplements thereto, under which the securities are to be issued.
D.
The basic underwriting agreement, if any, and any agreement or agreements among underwriters and dealers pertaining to the
distribution of the securities within the State.
E.
An opinion or opinions of counsel as to the legality and validity of the securities and their issuance.
F.
A specimen copy of each certificate to be registered.
G.
A copy of all advertising material to be used in this State in connection with the offering and sale of securities.
(Note: Any of the foregoing documents, A to G, may be submitted in preliminary form, clearly marked as such, in which case a
definitive copy of each shall be filed promptly after execution, adoption or filing, as the case may be.)
H.
Prospectus - See attachment to this application for information required in the prospectus. Also refer to the Rules and
Regulations under the Uniform Securities Act.
8.
If the issuer is not domiciled in the State, there shall be filed the irrevocable written consent to service of process on the Commissioner
as provided by Section 485-12, Hawaii Revised Statutes, together with a certified copy of the resolution of the board of directors,
trustees, etc. authorizing the officers to execute the same.
-2-

ADVERTISEMENT

00 votes

Related Articles

Related forms

Related Categories

Parent category: Legal
Go
Page of 3