Administrative Code

Virginia Administrative Code
5/19/2024

Chapter 60. Reports

21VAC5-60-10. Filing of amended prospectus required.

Registrants whose securities are registered pursuant to § 13.1-509 of the Code of Virginia must file any amended prospectus that is filed with the Securities and Exchange Commission.

Statutory Authority

§ 13.1-523 of the Code of Virginia.

Historical Notes

Derived from Rule 700, Case No. SEC810005, eff. July 1, 1981; amended by Case No. SEC890040, eff. July 1, 1989.

21VAC5-60-20. Required reports of securities registrants.

Registrants whose securities are registered pursuant to §§ 13.1-508 and 13.1-510 of the Code of Virginia must file the following reports:

1. A report of any material changes regarding the issuer or the terms of the offering.

2. A copy of the issuer's unaudited financial statements for the period beginning on the date of the certified balance sheet or the certified financial statements and ending on such a date as the Commission may require.

3. The reports must be filed six months after the registration statement is effective and continue to be filed at six month intervals so long as the registration statement remains effective.

4. The issuer may incorporate the reports into the prospectus being utilized and submit the document to the Commission.

5. Registrants whose securities are registered pursuant to 21VAC5-30-50 are exempt from compliance with this section.

Statutory Authority

§ 13.1-523 of the Code of Virginia.

Historical Notes

Derived from Rule 701, Case No. SEC810005, eff. July 1, 1981; amended by Case No. SEC810010, eff. August 15, 1981.

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