10 Pa. Code § 205.040

Current through Register Vol. 54, No. 39, September 28, 2024

Section 205.040 - Series of unit investment trusts as separate issuers

To comply with the requirements of sections 201 and 211(a) of the act (70 P.S. §§ 1-201 and 1-211(a)), each series underlying a unit investment trust, as that person is classified in the Investment Company Act of 1940 (15 U.S.C.A. §§ 80a-1-80 a-64), constitutes a separate and distinct issuer under the act and shall make a separate filing with the Department under section 211(a) of the act.

The provisions of this §205.040 adopted December 2, 1988, effective 12/3/1988, 18 Pa.B. 5361; amended December 30, 1999, effective 1/1/2000, 30 Pa.B. 18; transferred and renumbered from 64 Pa. Code § 205.040, December 14, 2012, effective 12/15/2012, 42 Pa.B. 7533; amended January 12, 2018, effective 1/13/2018, 48 Pa.B. 389.

The provisions of this §205.040 issued under section 205(d) of the Pennsylvania Securities Act of 1972 (70 P.S. § 1-205(b)(iii)); amended under sections 202(g) and (i), 203(d), (i.1), (j) and (n)-(t), 204(a), 205(b), 207(g), (j.1) and (n), 209(b), 211(a) and (b), 504(d), 513, 603(a), 606(d) and 609(a) of the Pennsylvania Securities Act of 1972 (70 P.S. §§ 1-202(g) and (i), 1-203(d), (i.1), (j) and (n)-(t), 1-204(a), 1-205(b), 1-207(g), (j.1) and (n), 1-209(b), 1-211(a) and (b), 1-504(d), 1-513, 1-603(a), 1-606(d) and 1-609(a)); section 202.C of the Department of Banking and Securities Code (71 P.S. § 733-202.C); and section 9(b) of the Takeover Disclosure Law (70 P.S. § 79(b)).