Delaware is a disclosure jurisdiction.
Delaware accepts the Uniform Application to Register Securities (Form U1), and allows for electronic signature of forms.
Registration requires filing the following:
(1) A completed application Form U-1, Uniform Application to Register Securities;
(2) An irrevocable consent appointing the Investor Protection Director agent for the service of process, executed by the issuer on Form U-2, Uniform Consent to Service of Process;
(3) One copy of the prospectus which is to be provided to offerees under Section 73-204(d) of the Act;
(4) The appropriate filing fee; and
(5) Any other document or information requested by the Unit.
Delaware collects a variable fee calculated as 0.5% of the maximum aggregate offering price of securities to be offered in Delaware during the initial registration period, with a minimum of $200 and a maximum of $1,000. Fees should be payable to “State of Delaware”. Payments should be sent to the following address:
| Mailing Address: Delaware Investor Protection Unit (DOJ) 820 North French Street, 5th Floor Wilmington, DE 19801 |
Courier Address: Delaware Investor Protection Unit (DOJ) 820 North French Street, 5th Floor Wilmington, DE 19801 |
For additional information, please visit the Investor Protection Unit’s website or contact them at 302-577-8424.
In addition, we will require notice filings for Tier 2 offerings in Delaware as follows:
(1) A completed Regulation A – Tier 2 notice filing form or copies of all documents filed with the Securities and Exchange Commission;
(2) A consent to service of process on Form U-2 if not filing on the Regulation A – Tier 2 notice filing form; and
(3) The filing fee prescribed by Section 73-208(c) and Rule 404(d).
Delaware collects a variable fee calculated as 0.5% of the maximum aggregate offering price of securities to be offered in Delaware during the initial registration period, with a minimum of $200 and a maximum of $1,000. Fees should be payable to “State of Delaware”. Payments should be sent to the following address:
| Mailing Address: Courier Address: Delaware Investor Protection Unit (DOJ) 820 North French Street, 5th Floor |
Wilmington, DE 19801 Delaware Investor Protection Unit (DOJ) 820 North French Street, 5th Floor Wilmington, DE 19801 |
For additional information, please visit the Investor Protection Unit’s website or contact them at 302-577-8424.
