6.10.208    NOTICE FILINGS FOR OFFERINGS OF INVESTMENT COMPANY SECURITIES

(1) A notice filing for a security that is a federal covered security under 18(b)(2) of the Securities Act of 1933 shall consist of the fees required under 30-10-209, MCA, a Form U-2, uniform consent to service of process, unless incorporated by reference by ARM 6.10.150, and either a copy of the issuer's federal registration statement as filed with the securities and exchange commissioner or an originally executed Form NF, uniform notice filing form.

(2) A notice filing under (1) is effective for one year following the date of the commissioner's receipt of the filing. A notice filing may be renewed by the filing with the commissioner, prior to the expiration date of the notice filing, payment of fees required under 30-10-209, MCA, together with either a current copy of the issuer's federal registration statement or an originally executed Form NF. A renewed notice filing shall be effective for one year commencing upon the expiration of the notice filing being renewed.

(3) A report detailing the amount of shares sold in this state shall be filed with the commissioner on Form NF within 60 days after the annual expiration of a notice filing.

(4) A notice filing may be amended to increase the amount of shares offered in this state by filing with the commissioner an amended Form NF together with any additional fees required by 30-10-209, MCA.

(5) Except as provided in (6), an investment company that has elected to file a Form NF in lieu of its federal registration statement is not required to file with the commissioner a copy of any document that is part of a federal registration statement filed with the securities and exchange commissioner or is part of an amendment to a federal registration statement.

(6) An investment company that has filed a Form NF shall file, upon written request of the commissioner and within the time period set forth in the request, a copy of any document identified in the request that is part of the federal registration statement filed with the securities and exchange commission or part of an amendment to a federal registration statement.

(7) 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, 30-10-202, 30-10-211, MCA; NEW, 1999 MAR p. 56, Eff. 1/15/99; TRANS, from ARM 6.10.147, 2008 MAR p. 2046, Eff. 9/26/08; AMD, 2020 MAR p. 1874, Eff. 10/24/20.