HAR §16-38-65. Notice filing requirements for investment company securities

(a) The notice filing requirements pursuant to section 485-4.5, HRS, for a federal covered security that is issued by an investment company registered under the Investment Company Act of 1940 shall consist of: (1) A form NF or a copy of the issuer's federal registration statement; (2) A consent to service of process, unless one has previously been filed with the commissioner; and (3) A fee of $200 per portfolio or series. (b) Except as otherwise provided herein, a notice filing shall be effective commencing upon the later of its receipt by the commissioner or the effectiveness of the offering with the SEC and continuing until two months after the issuer's fiscal year end. A notice filing may be renewed prior to its expiration by filing with the commissioner a current Form NF or a copy of the issuer's most recent federal registration statement together with a renewal fee of $50 per portfolio or series. A renewed notice filing shall take effect upon the expiration of the previous notice filing. The initial notice filing by a unit investment trust shall be effective indefinitely. (c) A notice filing need not be submitted for a federal covered security that is exempt from the filing requirements of section 485-4.5, HRS, pursuant to section 485-4 or 485-6, HRS. [Eff and comp 4/14/03] (Auth: HRS §485-2) (Imp: HRS §485-10) §16-38-65 38-80 Amendments to and compilation of Chapter 16-38, Hawaii Administrative Rules, on the Summary page dated January 22, 2003, were adopted on January 22, 2003, following a public hearing held on the same date, after public notices were given in the Honolulu Star Bulletin, The Hawaii Tribune-Herald, West Hawaii Today, Kauai Publishing Company and The Maui News on December 13, 2003. These rules shall take effect ten days after filing with the Office of the Lieutenant Governor. /s/ Mark E. Recktenwald MARK E. RECKTENWALD, Director Commerce and Consumer Affairs 38-82 APPROVED AS TO FORM: Date 2/19/03 /s/ Rodney J. Tam Deputy Attorney General APPROVED: Date 4/2/03 /s/ Linda Lingle LINDA LINGLE Governor State of Hawaii April 3, 2003 Filed DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS Amendments to Chapter 16-38 Hawaii Administrative Rules January 22, 2003 SUMMARY 1. §