South Dakota Administrative Rules
Title 20 - PUBLIC SAFETY
Article 20:08 - SECURITIES
Chapter 20:08:07 - Notice filings for covered securities and registration exemptions
Section 20:08:07:02 - Notice filing for closed-end investment companies
Current through Register Vol. 50, page 114, March 25, 2024
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.
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).