Notice Filings for Investment Companies

PURPOSE: This rule prescribes the notice to be filed for investment companies as federal covered securities. (1) The initial notice required under section 409.3-302(a), to be filed for investment companies, that include an open-end or closed-end investment company, unit investment trust or face amount certificate company, as those persons are classified in the Investment Company Act of 1940, shall consist of the following: (A) The Uniform Investment Company Notice Filing Form (Form NF) and accompanying documents; (B) Form U-2, Consent to Service of Process; and (C) The fee described in 15 CSR 30-50.030. (2) No documents filed by investment companies with the U.S. Securities and Exchange Commission need to be filed with the notice described in section (1) above. (3) Annual Sales Report or Termination. For investment companies, the following notice shall be filed with the division when applicable: (A) An annual sales report on the Form NF and the fee described in 15 CSR 30-50.030 within sixty (60) days of the company’s fiscal year end; or (B) A termination notice on the Form NF and the fee described in 15 CSR 30-50.030 (this notice needs to be filed with the division on the completion of the offering in Missouri). (4) Renewals. The annual renewal for investment companies shall consist of the Form NF and a one hundred dollar ($100) filing fee. This notice needs to be filed with the division within thirty (30) days before the anniversary of the company’s effective date in Missouri or at the time of the company’s fiscal year end. (5) Amendments. During the period of the offering, the investment company shall take steps necessary to insure that all material information contained in the notice remains current and accurate. AUTHORITY: sections 409.3-302 and 409.6-605, RSMo Supp. 2003.* Original rule filed Feb. 18, 2003, effective Aug. 30, 2003. Emergency amendment filed Aug. 26, 2003, effective Sept. 12, 2003, expired March 9, 2004. Amended: Filed Aug. 26, 2003, effective Feb. 29, 2004. *Original authority: 409.3-302, RSMo 2003; 409.6-605, RSMo 2003.