R. 451.3.1 - Notice filing

R. 451.3.1. Notice filing

Rule 3.1. A notice filing for a security issued by an investment company that is a federal covered security as defined in section 18(b)(2) of the securities act of 1933, 15 U.S.C. § 77r, that is not otherwise exempt under sections 201 to 203 of the act, MCL 451.2201 to 451.2203, includes the following, as applicable:

(a) Before the initial offer of a federal covered security in this state all of the following:

(i) All records that are part of a federal registration statement filed with the SEC under the securities act of 1933, 15 U.S.C. § 77a et seq.

(ii) NASAA form U-2 consent to service of process signed by the issuer.

(iii) NASAA form NF uniform investment company notice filing form.

(iv) A nonrefundable filing fee of $500.00.

(b) After the initial offer of sale, if the issuer files an amendment to its registration statement with the SEC, the issuer shall file a copy of the amendment with the administrator.

(2019 MR 1, Eff. July 3, 2019)

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