6.10.209    NOTICE FILINGS FOR OFFERINGS OF FEDERAL COVERED SECURITIES UNDER 18(b)(3) OR (4) OF THE SECURITIES ACT OF 1933

(1) Except as provided in (3), a notice filing for a security that is a federal covered security under 18(b)(3) or (4) of the Securities Act of 1933 shall consist of:

(a) a letter explaining that the security is a federal covered security pursuant to 18(b)(3) or (4) of the Securities Act of 1933;

(b) a U-2 consent to service of process form; and

(c) a fee of $200.

(2) A notice filing under (1) is effective for one year following the date of the commissioner's receipt of the filing. Prior to the expiration date of the notice filing, a notice filing may be renewed by filing a $200 fee with the commissioner. A renewed notice filing shall be effective for one year commencing upon the expiration of the notice filing being renewed.

(3) The notice filing requirements for an issuer offering a security that is a covered security under 18(b)(4)(D) of the Securities Act of 1933 are contained in ARM 6.10.210.

(4) Any filing or renewal required under ARM Title 6, chapter 10, subchapter 2 must be submitted to the commissioner through the Electronic Filing Depository (EFD), or other CSI-approved filing system, and must comply with the following:

(a) All filing or renewal fees shall likewise be submitted through the EFD or CSI-approved filing system;

(b) A person duly authorized by the issuer shall affix his or her electronic signature to the filing by typing his or her name in the appropriate fields and submitting the filing through the EFD, or other CSI-approved filing system, which shall constitute irrefutable evidence of legal signature by the individual whose name is typed on the filing; and

(c) Any documents or fees required under (1) to be filed with the commissioner that are not permitted to be filed with, or cannot be accepted by, the EFD, or other CSI-approved filing system must be filed directly with the commissioner, and must be accompanied by a statement from the issuer providing the date the filing was attempted through the EFD, or other CSI-approved filing system. 

History: 30-10-107, MCA; IMP, 30-10-107, 30-10-201, MCA; NEW, 2003 MAR p. 2850, Eff. 12/25/03; TRANS, from ARM 6.10.148, 2008 MAR p. 2046, Eff. 9/26/08; AMD, 2015 MAR p. 1480, Eff. 9/25/15; AMD, 2020 MAR p. 1874, Eff. 10/24/20.