Products/Securities Offerings

• The burden of proof for qualifying for an exemption, exception, preemption or exclusion is on the person claiming the exemption, exception, preemption or exclusion.
• Include a link to Article 2:
  
  Regulation D
• Form D, Rule 506 Notice Filing Requirements
• Regulation D
• Form D
• Accredited Investor Net Worth Standard

Investment Company (Mutual Funds)

• Investment Company Notice Filing Fees
• Form NF
• Form U-2 Consent To Service of Process

Registration by Coordination

• Form U-1
  Uniform Application To Register Securities
• Form U-2
  Uniform Consent To Service of Process
• Form U-2a
  Uniform Corporate Resolution

Coordinated Review Programs

• Coordinated Equity Review
• Coordinated DPP Program