Rule 20:08:07:01 Notice filing for open-end investment companies.
filing for open-end investment companies. Prior to any offer or sale of
securities, issued by an open-end investment company, that are covered
securities pursuant to section 18(b)(2) of the Securities Act of 1933, the
following notice and fee must be submitted to the division:
(1) A signed NASAA
Form NF, Uniform Notice Filing Form;
(2) A signed NASAA
Form U-2, Uniform Consent to Service of Process. An issuer who has filed a Form
U-2 in connection with a previous notice filing need not file another; and
(3) The initial or
renewal fee as set forth in SDCL 47-31B-302.
A renewal filing is required
Source: 28 SDR 48,
effective October 10, 2001; 30 SDR 211, effective July 1, 2004; 43 SDR 80,
effective December 6, 2016.
General Authority: SDCL 47-31B-302(a), 47-31B-605(a)(1), 47-31B-605(b).
Law Implemented: SDCL 47-31B-103, 47-31B-302(a)(1) and (2), 47-31B-302(b), 47-31B-302(d).
Back to 20:08:07