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Exempt Securities and Transactions (repealing 21VAC5-40-30). The proposed action repeals the section of 21VAC5-40, Exempt Securities and Transactions, regarding the Regulation D, Rule 505 exemption due to the repeal of Rule 505 by the U. Securities and Exchange Commission (SEC) in October 2016. Proposed amendments to 21VAC5-30, Securities Registration, update the Oil and Gas Programs statements of policy and add four statements of policy of the North American Securities Administrators Association, as follows: Promotional Shares, Loans & Other Material Transactions, Impoundment of Proceeds, and Electronic Offering Documents and Electronic Signatures.A copy also may be found at the Commission's website: Registration and Renewal Filing Fees for Agents: The proposed amendment to Chapter 20 provides for an increase in the registration and annual renewal filing fee for broker-dealer agents (including Canadian agents) and agents of the issuer from to .
However, a state that is home to the principal place of business of the issuer or in which residents have purchased 50% or more of the offering amount may require a notice filing that contains all documents filed with the SEC together with a consent to service of process.This will allow interstate offerings to comply with the federal crowdfunding rule and make the appropriate state notice filings.The Division proposes that the Commission adopt the notice filing requirement for federal crowdfunding offerings to include the Form U-CF for notice filing. Registration and Renewal Filing Fees for Investment Advisor Representatives: The proposed amendment to Chapter 80 provides for an increase in the registration and annual renewal filing fee for investment advisor representatives from to . Small Company Offering Registrations, as adopted April 28, 1996. NASAA Guidelines Regarding Viatical Investment, as adopted October 1, 2002. Corporate Securities Definitions, as amended March 31, 2008. Church Extension Fund Securities, as amended April 18, 2004. Nothing in this exemption is intended to relieve, or should be construed as in any way relieving, issuers or persons acting on their behalf from providing disclosure to prospective investors adequate to satisfy the anti-fraud provisions of the Act.From that time to the present, the number and complexity of audits of these registrants' offices has increased, necessitating the increase in the registration fee.The Division of Securities and Retail Franchising ("Division") will apply the additional fees towards the cost to conduct audits. Adoption of Statements of Policy: The Division is a member of the North American Securities Administrators Association ("NASAA"), a trade association of state regulators.