1. (1) An investment company notice filing shall comply with this rule.

2. (2) The notice required by ORS 59.049 shall:

   1. (a) Identify the portfolios offered through the same SEC registration; and
   2. (b) Subject to section (3) of this rule, be filed on NASAA Form NF.
3. (3) In lieu of the notice provided in section (2) of this rule, if the issuer follows ORS 59.049(1), and files a copy of its registration statement as filed with the SEC, the issuer shall advise the Director of the number of portfolios covered by the registration statement and pay fees as provided in OAR 441-049-1001.

Statutory/Other Authority

ORS 59.049 & 59.085

Statutes/Other Implemented

ORS 59.049

History

FCS 1-2004, f. & cert. ef. 5-19-04
FCS 2-2003(Temp), f. & cert. ef. 11-26-03 thru 5-21-04
FCS 3-1998, f. & cert. ef. 7-2-98