15 CSR 30-54.015 - Notice Filings for Investment Companies
(1) The
initial notice required under section
409.3-302(a),
to be filed for investment companies, that include an open-end or closed-end
investment company, unit investment trust or face amount certificate company,
as those persons are classified in the Investment Company Act of 1940, shall
consist of the following:
(A) The Uniform
Investment Company Notice Filing Form (Form NF) and accompanying
documents;
(B) Form U-2, Consent to
Service of Process; and
(C) The fee
described in 15 CSR
30-50.030.
(2) No documents filed by investment
companies with the U.S. Securities and Exchange Commission need to be filed
with the notice described in section (1) above.
(3) Annual Sales Report or Termination. For
investment companies, the following notice shall be filed with the division
when applicable:
(A) An annual sales report on
the Form NF and the fee described in
15 CSR
30-50.030 within sixty (60) days of the company's
fiscal year end; or
(B) A
termination notice on the Form NF and the fee described in
15 CSR
30-50.030 (this notice needs to be filed with the
division on the completion of the offering in Missouri).
(4) Renewals. The annual renewal for
investment companies shall consist of the Form NF and a one hundred dollar
($100) filing fee. This notice needs to be filed with the division within
thirty (30) days before the anniversary of the company's effective date in
Missouri or at the time of the company's fiscal year end.
(5) Amendments. During the period of the
offering, the investment company shall take steps necessary to insure that all
material information contained in the notice remains current and
accurate.
Notes
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