Haw. Code R. § 16-38-65 - Notice filing requirements for investment company securities

(a) The notice filing requirements pursuant to section 485-4.5, HRS, for a federal covered security that is issued by an investment company registered under the Investment Company Act of 1940 shall consist of:

(1) A form NF or a copy of the issuer's federal registration statement;

(2) A consent to service of process, unless one has previously been filed with the commissioner; and

(3) A fee of $200 per portfolio or series.

(b) Except as otherwise provided herein, a notice filing shall be effective commencing upon the later of its receipt by the commissioner or the effectiveness of the offering with the SEC and continuing until two months after the issuer's fiscal year end. A notice filing may be renewed prior to its expiration by filing with the commissioner a current Form NF or a copy of the issuer's most recent federal registration statement together with a renewal fee of $50 per portfolio or series. A renewed notice filing shall take effect upon the expiration of the previous notice filing. The initial notice filing by a unit investment trust shall be effective indefinitely.

(c) A notice filing need not be submitted for a federal covered security that is exempt from the filing requirements of section 485-4.5, HRS, pursuant to section 485-4 or 485-6, HRS.

Notes

Haw. Code R. § 16-38-65

[Eff and comp 4/14/03] (Auth: HRS § 485-2) (Imp: HRS § 485-10)