LD 509
pg. 26
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LR 441
Item 1

 
A.__The uniform investment company notice filing form;

 
B.__A consent to service of process complying with section
16611 signed by the issuer; and

 
C.__The payment of a nonrefundable fee of $1,000 for each
type or class of security offered.

 
2.__Notice filing effectiveness and renewal.__A notice filing
under subsection 1 is effective for one year commencing on the
date of the notice filing, the date of effectiveness of the
offering filed with the Securities and Exchange Commission or a
date selected by the filer, whichever date is latest.__On or
before expiration, a notice filing may be renewed by filing the
uniform investment company notice filing form and by paying a
nonrefundable renewal fee of $1,000 for each type or class of
security offered.__A previously filed consent to service of
process complying with section 16611 may be incorporated by
reference in a renewal.__A renewed notice filing becomes
effective upon the expiration of the filing being renewed.

 
3.__Notice filings for federal covered securities under
Section 18(b)(4)(D).__A security that is a federal covered
security under Section 18(b)(4)(D) of the federal Securities Act
of 1933, 15 United States Code, Section 77r(b)(4)(D) that is not
otherwise exempt under sections 16201 to 16203 may not be sold in
this State unless the following records are filed with the
administrator no later than 15 days after the first sale in this
State:

 
A.__A notice on "Form D," including the Appendix, as
promulgated by the Securities and Exchange Commission;

 
B.__A consent to service of process complying with Section
16611, signed by the issuer; and

 
C.__The payment of a nonrefundable fee of $300 per type or
class of security sold.

 
A notice filer making a filing between 16 and 30 days after
the first sale in this State shall pay an additional
nonrefundable late filing fee of $500.

 
4. Stop orders.__Except with respect to a federal covered
security under Section 18(b)(1) of the federal Securities Act of
1933, 15 United States Code, Section 77r(b)(1), if the
administrator finds that there is a failure to comply with a
notice or fee requirement of this section or any rule adopted
under this section, the administrator may issue a stop order
suspending the offer and sale of a federal covered security in


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