Section 460-18A-020 - Filing requirements - Closed-end investment companiesThe following provisions apply to closed-end investment companies as that term is defined by the Investment Company Act of 1940:
(1) Initial filing. A closed-end investment company making an initial notice filing pursuant to RCW 21.20.327(1)(a) shall file the following prior to the initial offer in this state: (a) A completed Form NF or other document identifying the filing;(b) A consent to service of process on Form U-2; and(c) The filing fee prescribed by RCW 21.20.340(3)(b). The initial notice filing is effective for twelve months.
(2) Renewal. For each additional twelve-month period in which the same offering is continued, a closed-end investment company complying with RCW 21.20.327(1)(b) may renew the unsold portion of its notice filing by filing the following on or before the expiration of the notice filing:(a) The renewal announcement provided by the division and/or a cover letter or other document requesting renewal;(b) The renewal fee prescribed by RCW 21.20.340(3)(b) to renew the unsold portion of securities for which a filing fee has previously been paid; and(c) If the amount of securities subject to the notice filing is being increased, the fee prescribed by RCW 21.20.340(3)(b) to cover the increase in the amount of securities to be offered.(3) A closed-end investment company complying with RCW 21.20.327(1)(b) may increase the amount of securities offered in this state by submitting an amended Form NF or other document describing the transaction and a fee calculated pursuant to RCW 21.20.340(3)(b) to cover the increase in the amount of securities being offered.Wash. Admin. Code § 460-18A-020
Statutory Authority: RCW 21.20.450 and 1998 c 15 § 12. 98-18-031, § 460-18A-020, filed 8/26/98, effective 9/26/98.