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

          20:08:07:03.  Notice 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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