Ill. Admin. Code tit. 38, § 600.20 - Agreement to be Entered into by an Investment Company Under Section 2 of the Act to be in Form Prescribed by the Comptroller

Current through Register Vol. 46, No. 15, April 8, 2022

An investment company desiring to enter into an agreement with the Comptroller as in Section 2 of the Act provided shall submit an application prepared in accordance with the form prescribed therefor by the Comptroller as in effect on the date of filing. The form of application shall require the investment company to represent that: it is an open end diversified management investment company registered under the Investment Company Act of 1940; its securities are purchasable only with care funds or similar trust funds; its securities are registered for sale under the Securities Act of 1933 and the Illinois Securities Law of 1953; it will furnish the Comptroller certain information with respect to the holders of its securities; it will furnish the Comptroller copies of all reports sent to holders of its securities; it will furnish the Comptroller copies of all statements filed with the Securities and Exchange Commission. The form of application shall also contain: a consent to service of process; the name and address of its trustee or custodian; the names and addresses of all of its directors and executive officers; a schedule of exhibits required to be filed with the application which schedule shall relate to the registration of the investment company under the Investment Company Act of 1940 and its shares under the Federal Securities Act of 1933 as well as to the internal management and the operation of the investment company and, such other matters as the Comptroller shall reasonably require. Any application shall be deemed to be filed on the proper form unless objection to the form is made by the Comptroller.

Notes

Ill. Admin. Code tit. 38, § 600.20

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