After the initial registration application is filed, are there any materials that the issuer is responsible for forwarding directly to the participating jurisdictions?
Yes. The issuer must forward any amendments to the registration statement, uniform forms and CER-1 directly to the participating states. Additionally, the issuer must resolve state specific comments directly with the state issuing the comment. Further, the issuer must send notices relating to the status of the offering (e.g., notice of SEC effectiveness, withdrawal notices) directly to the participating jurisdictions. The lead states are responsible for forwarding the issuer’s response letters to the participating jurisdictions.
