Section 710IAC4-5-4. Reports to securities holders

Latest version.

Each issuer of securities registered by qualification that is also the applicant or is controlled by the applicant shall distribute an annual report to the holders of its securities. The report shall include audited financial statements, including profit and loss statements for the past five (5) years. The report shall be distributed not less than ten (10) days in advance of the annual meeting that shall be held not later than five (5) months after the close of each fiscal year. The undertaking shall:

(1) be included in the prospectus; and

(2) remain in effect through the first fiscal year ending after termination of the registration.

(Securities Division; 710 IAC 4-5-4; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA; readopted filed May 12, 2016, 1:47 p.m.: 20160608-IR-710160136RFA)

                    
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