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 20:08:07:03 - Notice filing for unit investment trusts

Universal Citation: SD Admin Rules 20:08:07:03

Current through Register Vol. 50, page 114, March 25, 2024

Prior to any offer or sale of securities issued by a unit investment trust 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 filing fee pursuant to 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).

Disclaimer: These regulations may not be the most recent version. South Dakota 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.
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