PURPOSE: This rule prescribes the notice to be filed for investment companies as federal covered securities.

1. (1) The initial notice required under section 409.307(a), RSMo to be filed for an openend or closed-end investment company, unit investment trust or face amount certificate company, as those persons are classified in the Investment Company Act of 1940 shall consist of the following:

   1. (A) The Uniform Investment Company Notice Filing Form (Form NF) and accompanying documents;
   2. (B) Form U-2, Consent to Service of Process; and
   3. (C) The fee described in 15 CSR 30- 50.030.
2. (2) No documents filed by investment companies with the Securities and Exchange Commission (SEC) need to be filed with the notice described in section (1) above.

3. (3) Annual Sales Report or Termination. For open-end investment companies or face amount certificate companies, the following notice shall be filed with the division when applicable:

   1. (A) An annual sales report on the Form NF and the fee described in 15 CSR 30-50.030 within sixty (60) days of the company’s fiscal year end; or
   2. (B) A termination notice on the Form NF and the fee described in 15 CSR 30-50.030. 15 CSR 30-54
4. (4) Final Sales Report for Unit Investment Trusts. The final sales report for unit investment trusts shall be on the Form NF and include the fee described in 15 CSR 30- 50.030. This notice needs to be filed with the division on the completion of the offering in Missouri.
5. (5) Renewals. The annual renewal for closedend investment companies shall consist of the Form NF and a one hundred dollar ($100) filing fee. This notice needs to be filed with the division within thirty (30) days of the anniversary of the company’s effective date in Missouri.
6. (6) Amendments. During the period of the offering, the investment company shall take steps necessary to insure that all material information contained in the notice remains current and accurate.

AUTHORITY: sections 409.307 and 409.413(a), RSMo 2000.* Original rule filed Feb. 18, 2003, effective Aug. 30, 2003.

*Original authority: 409.307, RSMo 1997 and 409.413, RSMo 1967.