18 NCAC 06A .1310          OFFERING PRICE

(a)  A waiver of the two‑day advance filing of the final offering price requirement of G.S. 78A‑26(c)(iii) shall be permitted if the final pricing information is furnished to the administrator contemporaneously with notice of the Securities and Exchange Commission effectiveness.

(b)  The final offering price information shall be filed in the following format:

Re:  (Title of Offering)

Date SEC effective:

Total number of units/shares/interests:

Total aggregate dollar amount:

Initial public offering price:

Underwriting commission (percentage):

States in which registration has been withdrawn and the reason for the withdrawal.


History Note:        Authority G.S. 78A‑26(c); 78A‑49(a);

Eff. April 1, 1981;

Amended Eff. September 1, 1995; October 1, 1988;

Pursuant to G.S. 150B-21.3A, rule is necessary without substantive public interest Eff. December 6, 2016.