Oregon Administrative Rules
Chapter 441 - DEPARTMENT OF CONSUMER AND BUSINESS SERVICES, FINANCE AND SECURITIES REGULATION
Division 49 - NOTICE FILINGS FOR FEDERAL COVERED SECURITIES
Section 441-049-1031 - Investment Company Notice Filing
Universal Citation: OR Admin Rules 441-049-1031
Current through Register Vol. 63, No. 9, September 1, 2024
(1) An investment company notice filing shall comply with this rule.
(2) The notice required by ORS 59.049 shall:
(a) Identify the portfolios offered through
the same SEC registration; and
(b)
Subject to section (3) of this rule, be filed on NASAA Form NF.
(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.
Stat. Auth: ORS 59.049 & 59.085
Stats. Implemented: ORS 59.049
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