1. ​What is required when filing a Rule 506 filing in Mississippi?
    • A copy of the Form D filed with the SEC.
    • A separate U-2 is not required. We accept the consent to service of process that is incorporated into the electronic form.
    • A filing fee of $300.00.
    • The filing must be made through the Electronic Filing Depository (EFD)
  2. Is there a late filing fee for Rule 506 filings not made within 15 days of the first sale in Mississippi?
    • Yes, the late filing fee is one percent of the sale in Mississippi up to a maximum of $5,000. See Mississippi Code Ann. § 75-71-310(b)
  3. What is required after the initial filing?
    • A renewal is required if the offering exceeds the 12 month effective. A termination is required within 60 days of completion of the offering. See Mississippi Securities Act Rule 2.29.
  4. Do I need to amend the Form D annually?
    • ​An annual amendment is required by the SEC. If you file an amendment with the SEC, you should file one with our office through EFD.