Idaho Admin. Code r. 12.01.08.021

Current through September 2, 2024
Section 12.01.08.021 - AMENDMENTS TO REGISTRATION STATEMENT
01.Amendments Required. The submission of a correcting amendment to an effective registration statement is required any time that the information contained therein becomes inaccurate or incomplete in any material respect.
02.Contents of Amendment Filing. Each filing of a correcting amendment to a registration statement shall contain a copy of each item of the registration statement that has been changed, with all changes clearly marked. To be complete, a filing of a correcting amendment to the registration statement shall contain a report of material changes setting forth a summary of each material change and indicating the location of such change in the documents filed.
03.Time of Filing and Undertaking. An amendment required under this section must be submitted by the earlier of:
a. Two (2) business days after filing such amendment with the SEC; or
b. Fifteen (15) business days following the event giving rise to the amendment.
c. If not registered with the SEC, registrants shall file an amended registration statement if required within fifteen (15) business days following the event giving rise to the amendment.
04.Effect of Failure to Amend. Solicitation of prospective investors through utilization of a prospectus containing information which is inaccurate or incomplete in any material respect represents a violation of the Act and constitutes a basis for the suspension or revocation of the registration. Nothing in this section shall be construed to require any open-end investment company registered under the 1940 Act and the Act to disclose fluctuations in its investment portfolio.

Idaho Admin. Code r. 12.01.08.021

Effective July 1, 2024