Okla. Admin. Code § 660:11-11-60

Current through Vol. 42, No. 4, November 1, 2024

Section 660:11-11-60 - Investment company notices

(a)Notice requirement. Pursuant to Section 1-302.A of the Securities Act, prior to the offer in this state of a Class of security of an investment company that is registered, or that has filed a registration statement, under the Investment Company Act of 1940, that is not otherwise exempt under Sections 1-201 through 1-203 of the Securities Act, the issuer must file a notice with the Administrator relating to such Class of security.

(b)Content of notice. Each required notice shall include the following:

(1) a properly completed Form NF;

(2) a consent to service of process on Form U-2 and (if applicable) Form U-2A; and

(3) the filing fee set forth in Section 1-612.C of the Securities Act.

(c)Other documents. Documents other than those required in (b) of this section, unless specifically requested by the Department, should not be filed with the Department. Documents that should be filed with the Department only if specifically requested include, but are not limited to, registration statements, prospectuses, amendments, statements of additional information, quarterly reports, annual reports, and sales literature.

(d)Renewal of notice. The effectiveness of a notice required pursuant to (a) of this section may be renewed each year for an additional one (1) year period of effectiveness by filing on or before the expiration of the effectiveness of such notice:

(1) a properly completed Form NF clearly indicating the state file number of the Notice to be renewed; and

(2) the filing fee required by Section 1-612.C of the Securities Act.

Okla. Admin. Code § 660:11-11-60

Added at 21 Ok Reg 2532, eff 7-1-04