Section 13.304 - Provisions Applicable to Registration Generally(B) A person filing a registration statement under M.G.L. c.110A, § 302 or M.G.L. c.110A, § 303 shall pay a filing fee in the amount provided by 801 CMR 4.02, which fee is determined by the Executive Office for Administration and Finance. Such registration statement may cover one or more classes of the issuer's securities, unless the issuer is an investment company. NOTE: As of July 1, 1989, the fee for registering securities is 1/20 of 1% of the aggregate amount of the offering with a minimum of $300 and a maximum of $1500 annually. The fee for registering shares of an open-end investment company is $2500, with an annual reporting fee of $1250.(C) A request for withdrawal of a registration statement should be made to the Director. The request will be deemed granted unless the person making the request is notified in writing to the contrary within five business days after receipt of the request.(D)(1) A person filing a registration statement under M.G.L. c. 110A, § 302 or M.G.L. c. 110A, § 303 or a notification and offering circular under 950 CMR 13.303(A) shall file promptly with the Director all amendments to the prospectus (other than amendments which merely delay the effective date of the registration statement) or to the notification and offering circular previously filed, clearly marked so as to indicate the specific amendments.(2) A person who seeks to register securities under the Act shall promptly provide to the Director or notify the Director of the following information or events: (a) A change in any of the information or documents filed with the Director;(b) Any adverse order, judgment, decree, permanent or temporary injunction which a state or federal agency or court entered concerning either the offering or other securities of the issuer or the person seeking the registration;(c) A request by the issuer or person seeking the registration to withdraw an application pending before a state or federal agency to register the same security he seeks to register pursuant to M.G.L. c. 110A;(d) Final notice from any state or federal administrative agency that the security or any information or document filed with it relating thereto fails to meet the agency's requirements; and(e) Such additional information and documents concerning the security or the issuer as the Director may request. If the registration statement is filed under M.G.L. c. 110A, § 302, notice of 950 CMR 13.304(D)(2)(a) through (e) shall be given prior to the effective date of the federal registration statement.
(E) Any registration statement which is pending effectiveness will be considered abandoned if no activity occurs with respect to such registration statement for a period of 120 days. If a registration statement is adjudged abandoned after such 120 day period, it can be reinstated only with the permission of the Associate Director.(G) The person filing a registration statement under M.G.L. c. 110A, § 302 or M.G.L. c. 110A, § 303 or a notification and offering circular under 950 CMR 13.303(A) shall promptly notify the Director in writing of the completion date of the initial distribution of a security registered under M.G.L. c. 110A, § 301 and 950 CMR 13.304 and the number of shares sold in Massachusetts.(H) Upon the written request of the Director, the issuer of a security registered under M.G.L. c. 110A or under any predecessor statute shall furnish a balance sheet as of the close of the issuer's most recent fiscal year and an income statement for such fiscal year.