Amendments To Registration Statement

01. Amendments Required. The submission of a correcting amendment to an effective registration statement is required any time that the information contained therein becomes inaccurate or incomplete in any material respect. (7-1-24) 02. Contents of Amendment Filing. Each filing of a correcting amendment to a registration statement shall contain a copy of each item of the registration statement that has been changed, with all changes clearly marked. To be complete, a filing of a correcting amendment to the registration statement shall contain a report of material changes setting forth a summary of each material change and indicating the location of such change in the documents filed. (7-1-24) 03. Time of Filing and Undertaking. An amendment required under this section must be submitted by the earlier of: (7-1-24) a. Two (2) business days after filing such amendment with the SEC; or (7-1-24) b. Fifteen (15) business days following the event giving rise to the amendment. (7-1-24) c. If not registered with the SEC, registrants shall file an amended registration statement if required within fifteen (15) business days following the event giving rise to the amendment. (7-1-24) 04. Effect of Failure to Amend. Solicitation of prospective investors through utilization of a prospectus containing information which is inaccurate or incomplete in any material respect represents a violation of the Act and constitutes a basis for the suspension or revocation of the registration. Nothing in this section shall be construed to require any open-end investment company registered under the 1940 Act and the Act to disclose fluctuations in its investment portfolio. (7-1-24) 022. -- 035. (RESERVED)