Rule 20:08:07:03 Notice filing for unit investment trusts.
filing for unit investment trusts. Prior to any offer or sale of securities
issued by a unit investment trust 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 Form NF,
Uniform Notice Filing Form;
(2) A signed 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) An initial or
renewal filing fee pursuant to SDCL 47-31B-302.
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).
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