ARSD 20:08:07:01. Notice filing for open-end investment companies

Prior to any offer or sale of securities, issued by an open-end investment company, that are covered securities pursuant to section 18(b)(2) of the Securities Act of 1933, the following notice and fee must be submitted to the division: (1) A signed NASAA Form NF, Uniform Notice Filing Form; (2) A signed NASAA Form U-2, Uniform Consent to Service of Process. An issuer who has filed a Form U-2 in connection with a previous notice filing need not file another; and (3) The initial or renewal fee as set forth in SDCL 47-31B-302. A renewal filing is required annually.