Notice filing for closed-end investment companies.
Effective Dec 6, 201643 SDR 80Source: 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).
Prior to any offer or sale of securities issued by a closed-end investment company 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 fee as set forth in 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).
Prior versions effective: 2004-07-01.