23 CAR § 1-107 – Material required to be filed

(a) Ten (10) preliminary copies of the proxy statement and form of proxy statement and form of proxy and any other soliciting material to be furnished to stockholders concurrently therewith shall be filed with the Insurance Commissioner at least ten (10) days prior to the date definitive copies of such material are first sent or given to stockholders, or such shorter period to that date as the commissioner may authorize upon a showing of good cause therefor.
(b) Two (2) preliminary copies of any additional soliciting material relating to the same meeting or subject matter to be furnished to stockholders subsequent to the proxy statements shall be filed with the commissioner at least two (2) days, exclusive of Saturdays, Sundays, or holidays, prior to the date copies of this material are first sent or given to stockholders or a shorter period prior to such date as the commissioner may authorize upon a showing of good cause therefor.
(c) Two (2) definitive copies of the proxy statement, form of proxy, and all other soliciting material, in the form in which this material is furnished to stockholders, shall be filed with, or mailed for filing to, the commissioner not later than the date such material is first sent or given to the stockholders.
(d) Where any proxy statement, form of proxy, or other material filed pursuant to these rules is amended or revised, two (2) of the copies shall be marked to clearly show such changes.
(e) Copies of replies to inquiries from stockholders requesting further information and copies of communications which do no more than request that forms of proxy theretofore solicited be signed and returned need not be filed pursuant to this section.
(f)
1. (1) Notwithstanding the provisions of subsections (a) and (b) of this section and 23 CAR § 1-205, copies of soliciting material in the form of speeches, press releases, and radio or television scripts may, but need not, be filed with the commissioner prior to use or publication.
2. (2) Definitive copies, however, shall be filed with or mailed for filing to the commissioner as required by subsection (c) of this section not later than the date such material is used or published.
3. (3) The provisions of subsections (a) and (b) of this section and 23 CAR § 1-205 shall apply, however, to any reprints or reproductions of all or any part of such material.