Instructions For Form 4f(2) - 2005 printable pdf download

Instructions For Form 4f(2) - 2005

Illinois Secretary of State

Instructions for Filing an Application for

Securities Department

Secondary Trading Authorization Pursuant

Jefferson Terrace, Ste. 300 A

to Exemption Under Section 4F(2) of the

300 W. Jefferson St.

Springfield, IL 62702

Illinois Securities Law of 1953

217-782-2256

Use of Illinois Form 4F(2) — Illinois Form 4F(2) must be used for the filing of an Application for Secondary Trading Authorization pursuant

to Section 4F(2) of the Illinois Securities Law of 1953, for securities that are issued, outstanding and not otherwise exempt.

Application of Rules and Regulations — Attention is directed to the Rules and Regulations under the Act, which are applicable hereunder

where pertinent. The definitions contained in Rule 130.200 should be especially noted.

Documents comprising the Application for Secondary Trading Authorization include:

•

Illinois Form 4F(2)

•

Filing fee

•

Audited financial statements for each of the issuer’s last three fiscal years

•

Other information or documents that are required or that the applicant (registered dealer) may file as part of the Application for

Secondary Trading Authorization

Applicant — The term “applicant” refers to the registered dealer filing the application. The term “issuer” refers to the issuer of the

securities that are the subject of the Application for Secondary Trading Authorization.

$1,000 filing fee — Submit a check, bank money order or U.S. Postal money order payable to Secretary of State as required by Rule

130.110. Failure to submit the filing fee in the required form or amount will result in a delay of the filing and examination of the application.

The fee is non-returnable.

Request for Waiver — A written request for a waiver of any requirement listed on the form may be submitted to the Secretary of State as

an exhibit to the application. The request should state, in detail, the reason(s) why the requirement should be waived.

Printed by authority of the State of Illinois. October 2005 — 100 — SEC 258.1

Instructions For Form 4f(2) - 2005