20:08:07:03Notice

Section · Administrative Rules of South Dakota · View on sdlegislature.gov ↗

Rulemaking activity

Proposed Revisions to South Dakota Administrative Rules (ARSD): 20:08:07:01, 20:08:07:02, 20:08:07:03, 20:08:07:03.01, 20:08:07:25, 20:08:07:27, 20:08:07:29 and 20:08:07:30Effective

filing for unit investment trusts. 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.

Source: 28 SDR 48, effective October 10, 2001; 30 SDR 211, effective July 1, 2004; 43 SDR 80, effective December 6, 2016.

General Authority

Law Implemented

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