12 C.F.R. § 563g.5 Filing and signature requirements.
Title 12 - Banks and Banking
(a) Procedures. An offering circular, amendment, notice, report, or other document required by this part shall, unless otherwise indicated, be filed in accordance with the requirements of §§563b.115(a), 563b.150(a)(6), 563b.155, 563b.180(b), and Form AC, General Instruction B, of this chapter. (b) Number of copies. (1) Unless otherwise required, any filing under this part shall include nine copies of the document to be filed with the Business Transactions Division, Chief Counsel's Office, as follows: (i) Seven copies, which shall include one manually signed copy with exhibits, three conformed copies with exhibits, and three conformed copies without exhibits, to the Securities Filing Desk, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552; and (ii) Two copies, which shall include one manually signed copy with exhibits and one conformed copy, without exhibits, to the Regional Director. (2) Within five days after the effective date of an offering circular or the commencement of a public offering after the effective date, whichever occurs later, nine copies of the offering circular used shall be filed with OTS, as follows: seven copies to the Securities Filing Desk, Office of Thrift Supervision, 1700 G Street, NW., Washington, DC 20552, and two copies to the Regional Director. (3) After the effective date of an offering circular, an offering circular which varies from the form previously filed shall not be used, unless it includes only non-material supplemental or additional information and until 10 copies have been filed with the Office in the manner required. (c) Signature. (1) Any offering circular, amendment, or consent filed with the Office pursuant to this part shall include an attached manually signed signature page which authorizes the filing and has been signed by: (i) The issuer, by its duly authorized representative; (ii) The issuer's principal executive officer; (iii) The issuer's principal financial officer; (iv) The issuer's principal accounting officer; and (v) At least a majority of the issuer's directors. (2) Any other document filed pursuant to this part shall be signed by a person authorized to do so. (3) At least one copy of every document filed pursuant to this part shall be manually signed, and every copy of a document filed shall: (i) Have the name of each person who signs typed or printed beneath the signature; (ii) State the capacity or capacities in which the signature is provided; (iii) Provide the name of each director of the issuer, if a majority of directors is required to sign the document; and (iv) With regard to any copies not manually signed, bear typed or printed signatures. [54 FR 49641, Nov. 30, 1989, as amended at 60 FR 66869, Dec. 27, 1995; 66 FR 65821, Dec. 21, 2001; 68 FR 75110, Dec. 30, 2003]
Title 12: Banks and Banking
PART 563g—SECURITIES OFFERINGS
§ 563g.5 Filing and signature requirements.
