<html xmlns="http://www.w3.org/1999/xhtml"><head><meta charset="UTF-8" /><title></title><meta name="Generator" content="PowerTools for Open XML" /><style>span { white-space: pre-wrap; } p.s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal { text-align: center; font-family: 'Times New Roman', 'serif'; font-size: 12pt; line-height: 108%; margin-top: 0; margin-left: 0; margin-right: 0; margin-bottom: .001pt; } span.s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000 { font-size: 12pt; font-style: normal; font-weight: normal; margin: 0; padding: 0; } span.s35c7f541-d0ab-4c7e-b145-edfeb5f08343DefaultParagraphFont { font-family: 'Times New Roman', 'serif'; font-size: 12pt; font-style: normal; font-weight: normal; margin: 0; padding: 0; } span.s35c7f541-d0ab-4c7e-b145-edfeb5f08343DefaultParagraphFont-000001 { color: #0000FF; font-family: 'Times New Roman', 'serif'; font-size: 12pt; font-style: normal; font-weight: normal; margin: 0; padding: 0; } p.s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002 { text-align: justify; font-family: 'Times New Roman', 'serif'; font-size: 12pt; line-height: 108%; margin-top: 0; margin-left: 0; margin-right: 0; margin-bottom: .001pt; } span.s35c7f541-d0ab-4c7e-b145-edfeb5f08343DefaultParagraphFont-000003 { font-size: 12pt; font-style: normal; font-weight: normal; margin: 0; padding: 0; } </style></head><body><div><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343DefaultParagraphFont">DEPARTMENT OF REVENUE AND REGULATION</span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343DefaultParagraphFont">DIVISION OF SECURITIES</span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343DefaultParagraphFont">QUARTERLY AND/OR FINAL REPORT OF SALES OF SECURITIES</span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343DefaultParagraphFont">Chapter </span><a href="https://sdlegislature.gov/Rules?Rule=20:08:04"><span class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343DefaultParagraphFont-000001">20:08:04</span></a></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343DefaultParagraphFont">APPENDIX A</span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343DefaultParagraphFont">SEE: §§ </span><a href="https://sdlegislature.gov/Rules?Rule=20:08:04:14"><span class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343DefaultParagraphFont-000001">20:08:04:14</span></a><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343DefaultParagraphFont"> and 20:08:04:155</span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal"><span class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343DefaultParagraphFont">(Repealed)</span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002"><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343DefaultParagraphFont">    Source: 30 SDR 211, effective July 1, 2004; repealed, 37 SDR 112, effective December 9, 2010.</span></p><p dir="ltr" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343Normal-000002"><span class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343DefaultParagraphFont-000003"><br />&#x200e;</span><span xml:space="preserve" class="s35c7f541-d0ab-4c7e-b145-edfeb5f08343000000"> </span></p></div></body></html>