Code of Maryland Regulations
Title 02 - OFFICE OF THE ATTORNEY GENERAL
Subtitle 02 - DIVISION OF SECURITIES
Chapter 02.02.09 - Federal Covered Securities
Section 02.02.09.06 - Renewal Notice Filing-Investment Companies
Universal Citation: MD Code Reg 02.02.09.06
Current through Register Vol. 51, No. 6, March 22, 2024
A. Renewal Notice Filing. An issuer shall renew its notice filing for a successive 1-year period by paying $500 as the initial part of its renewal fee and submitting to the Commissioner, within the due date under §B of this regulation, the remaining part of its fee required by Regulation .05 of this chapter.
B. Due Date for Renewal Notice Filing.
(1) Investment Companies Other Than Unit Investment Trusts.
(a) An issuer shall submit its renewal notice filing within 60 days after its fiscal year-end date.
(b) If an issuer changes its fiscal year-end date, its existing notice filing may not remain effective for more than 24 months.
(2) Unit Investment Trusts. An issuer shall submit its renewal notice filing within 60 days after expiration of effectiveness under Regulation .04E(2) of this chapter.
Disclaimer: These regulations may not be the most recent version. Maryland may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
