The following forms may be required by the Securities and Exchange Commission (SEC) and the States. The SEC requires Form D be filed within 15 days of the beginning date of the Offering period. The states require their forms (usually Form D and sometimes Form U2) to be filed within 15 days of the first sale in those states. Form U2 is the Uniform Consent to Service Of Process form.

• Form D (Microsoft Word doc)
• Form U2 (Adobe PDF)

STATE FILING REQUIREMENTS
RULE 506 OFFERING

WEST VIRGINIA
1. Copy of form D with original signature on the state page.
2. Form U2
3. $125 payable to West Virginia State Auditor
4. File 15 days after 1st sale in West Virginia

STATE SECURITIES REGULATORS

WEST VIRGINIA STATE AUDITOR’S OFFICE
Securities Division
www.wvauditor.com/
Building 1
Room W-100
Charleston, WV 25305-0230
304-558-2257
Fax: 304-558-4211

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