44-3321. Notice filings by open-end companies and unit investment trusts A. Securities that are issued by an open-end company or unit investment trust may be offered for sale and sold in this state if the commission receives all of the following: 1. The documents that are filed with the SEC and that are required by […]
44-3322. Amount and term of securities subject to notice filing A. An open-end company or a unit investment trust shall file a notice in order to offer for sale or sell an indefinite amount of securities with the commission. B. The initial notice filing of an open-end company is effective from the later of receipt […]
44-3323. Sales reports A. The sales report filed with the commission shall specify the total amount of sales made to persons in this state during the time periods specified in this section together with such other information the commission designates by rule or otherwise. B. An issuer that elected to pay the maximum fee provided […]
44-3324. Notice filing fees A. When filing its initial notice filing, an open-end company shall pay a nonrefundable notice filing fee for sales to be made during the initial notice period. The open-end company may elect to pay either a minimum fee of two hundred dollars or a maximum fee of three thousand five hundred […]
44-3325. Notice filings by closed-end companies A. Securities that are issued by a closed-end company may be offered for sale and sold in this state if the commission receives all of the following from the closed-end company: 1. The documents that are filed with the SEC and that are required by the commission. 2. A […]
