§ 390.414. Filing and signature requirements.
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/us/cfr/t12/s§ 390.414·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
(a)Procedures. An offering circular, amendment, notice, report, or other document required by this subpart shall, unless otherwise indicated, be filed in accordance with the requirements of 12 CFR 192.115(a), 192.150(a)(6), 192.155, 192.180(b), and Form AC, General Instruction B, of this subpart.
(b)Number of copies.
(1)Unless otherwise required, any filing under this subpart shall include nine copies of the document to be filed with the FDIC, 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 FDIC, ATTN: Accounting and Securities Disclosure Section, 550 17th Street NW, Washington, DC 20429; and
(ii)Two copies, which shall include one manually signed copy with exhibits and one conformed copy, without exhibits, to the appropriate 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 the FDIC as follows: Seven copies to the FDIC, 550 17th Street NW., ATTN: Accounting and Securities Disclosure Section, Washington, DC, and two copies to the appropriate 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 FDIC in the manner required.
(c)Signature.
(1)Any offering circular, amendment, or consent filed with the FDIC pursuant to this subpart 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 subpart shall be signed by a person authorized to do so.
(3)At least one copy of every document filed pursuant to this subpart 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.
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