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Regulation A - Tier 2 call the Division at (801) 530-6600
FORMS AND APPLICATIONS

Notice Filing Requirements

Issuers conducting securities offerings under Tier II of SEC Regulation A [17 CFR Parts 200, 230, 232, 239, 240, 249, and 260] are required to make a notice filing in Utah pursuant to rule R164-15-3 of the Utah Administrative Code.

Timely Filing

To make a timely notice filing for a Tier II, Regulation A offering, the issuer must submit to the Division, no later than 15 days after the first sale of the offering in this state, the following:

  1. A manually signed notice on Uniform Notice of Regulation A – Tier 2 Offering, and
  2. A $100.00 filing fee, made payable to the Utah Division of Securities; and
  3. A written statement disclosing the first date of sale to a Utah resident.
PLEASE NOTE: Pursuant to Utah Code Ann. subsection 61-1-25(1), a document is deemed “filed” only when it is received by the Division.

Late Filing

If the notice filing is made more than 15 days after the first sale in this state, the late filing fee is $500.00.
To make a late notice filing for the Tier II, Regulation A, the issuer must submit to the Division the following:

  1. A Manually signed notice on Uniform Notice of Regulation A – Tier 2 Offering, and
  2. A $500.00 filing fee, made payable to the Utah Division of Securities; and
  3. A written statement disclosing the first date of sale to a Utah resident.
PLEASE NOTE: Pursuant to Utah Code Ann. Subsection 61-1-25(1), a document is deemed "filed" only when it is received by the Division.

Licensing

All persons that sell securities in Utah under Federal Crowdfunding provisions must license as a broker-dealer or agent. However, an individual, 1) who represents an issuer, 2) who receives no commission or other remuneration, directly or indirectly, for effecting or attempting to effect purchases or sales of securities in this state, and 3) who effects transactions in an offering in material compliance with all relevant provision of Federal Crowdfunding, is not required to license as an agent in Utah. See Utah Code Ann. §61-1-13(1)(b)(ii).