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CHAPTER 20:08:07

 

NOTICE FILINGS FOR COVERED SECURITIES AND

REGISTRATION EXEMPTIONS

Section

20:08:07:01       Notice filing for open-end investment companies.

20:08:07:02       Notice filing for closed-end investment companies.

20:08:07:03       Notice filing for unit investment trusts.

20:08:07:03.01  Notice filing for face-amount certificate company.

20:08:07:03.02  Notice filing for Rule 504, 505, and 506 Reg. D offerings.

20:08:07:04       Repealed.

20:08:07:05       Repealed.

20:08:07:06       Repealed.

20:08:07:07       Repealed.

20:08:07:08       Repealed.

20:08:07:09       Repealed.

20:08:07:10       Repealed.

20:08:07:11       Repealed.

20:08:07:12       Repealed.

20:08:07:13       Nonprofit corporations.

20:08:07:14       Repealed.

20:08:07:15       Repealed.

20:08:07:16       Repealed.

20:08:07:17       Foreign cooperatives.

20:08:07:18       Repealed.

20:08:07:19       Repealed.

20:08:07:20       Unsolicited orders.

20:08:07:21       Real estate and mortgage-backed securities.

20:08:07:22       Repealed.

20:08:07:23       Sales to existing security holders/standby commissions.

20:08:07:24       Limited offerings general rules.

20:08:07:25       Intrastate limited offering transactional exemption.

20:08:07:26       Repealed.

20:08:07:27       Testing-the-waters exemption.

20:08:07:28       Repealed.

20:08:07:29       Model accredited investor exemption.

20:08:07:30       Manual exemption.

20:08:07:31       Viatical settlements.

20:08:07:32       Canadian-United States cross-border trading exemption.

20:08:07:33       Church extension fund securities.

20:08:07:34       Solicitation of interest.

20:08:07:35       Merger and consolidation.

20:08:07:36       Designated foreign jurisdiction.

20:08:07:37       Twenty-five purchasers exempt transaction.

20:08:07:38       Entities for economic development.

20:08:07:39       Isolated non-issuer exemption.

20:08:07:40       Request for transactional exemption pursuant to a fairness determination.

Appendix A  Statement of Issuer Form, repealed, 37 SDR 112, effective December 9, 2010.

Appendix B  Report of Sales Form, repealed, 37 SDR 112, effective December 9, 2010.

Appendix C  Consent to Service of Process Form U-2, repealed, 37 SDR 112, effective December 9, 2010.

Appendix D  Form D, repealed, 37 SDR 112, effective December 9, 2010.

Appendix E  Solicitation of Interest Form, repealed, 37 SDR 112, effective December 9, 2010.

Appendix F   Model Accredited Investor Form, repealed, 37 SDR 112, effective December 9, 2010.

Appendix G  Form NF, repealed, 37 SDR 112, effective December 9, 2010.


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