Arizona § 44-1893 - Application for registration of securities by qualification; contents; accompanying documents; signature and verification

§ 44-1893. Application for registration of securities by qualification; contents; accompanying documents; signature and verification

A. The application for registration of securities by qualification as required under sections 44-1892 and 44-1901 shall include the following, together with other information the commission prescribes:

1. Name and address of issuer, and address of issuer's principal office in this state, if any.

2. Title or descriptive name of securities to be registered and total amount of each class of such securities to be offered in this state and elsewhere.

3. Amount of each class of securities to be offered in this state, offering price per unit and in the aggregate, and the amount of the registration fee.

4. If a registration statement as to the securities has been filed under the securities act of 1933, the date on which the registration statement was filed to register the securities under that act, and the effective date of the registration statement, if effective.

5. Eligibility of securities for sale in the following states as of the date of application:

(a) States in which it is proposed to offer the securities for sale to the public.

(b) States, if any, in which the securities are eligible for sale to the public.

(c) States, if any, which have refused, by order or otherwise, to authorize the sale of securities to the public, or have revoked or suspended the right to sell the securities, or in which an application for qualification has been withdrawn.

B. There shall be submitted as part of the application for registration of securities by qualification a copy of:

1. The issuer's charter or other instrument of organization and bylaws, together with all amendments thereto.

2. The indenture and all supplements thereto under which the securities are to be issued.

3. The basic underwriting agreement, if any, and any agreement or agreements among underwriters and dealers pertaining to the distribution of the securities within this state.

4. The opinion of counsel as to the validity of issuance of the securities.

5. A specimen certificate of each security to be registered.

C. Any of the documents required by subsection B of this section may be submitted in preliminary form whereupon a definitive copy of each shall be filed promptly after execution.

D. The application for registration of securities by qualification shall be signed and verified under oath by the issuer. If the issuer is a corporation, trust or other unincorporated association, the application shall be signed by its principal executive officers, and shall be accompanied by a certified copy of a resolution approved by the requisite majority of the board of directors or other governing body.