| A.__The uniform investment company notice filing form; |
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| B.__A consent to service of process complying with section | 16611 signed by the issuer; and |
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| C.__The payment of a nonrefundable fee of $1,000 for each | type or class of security offered. |
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| | 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. |
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| | 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: |
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| A.__A notice on "Form D," including the Appendix, as | promulgated by the Securities and Exchange Commission; |
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| B.__A consent to service of process complying with Section | 16611, signed by the issuer; and |
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| C.__The payment of a nonrefundable fee of $300 per type or | class of security sold. |
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| 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. |
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| | 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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