S.D. Admin. R. 20:08:07:03.01 - Notice filing for face-amount certificate company

Prior to any offer or sale of face amount certificate Company securities that are covered securities pursuant to section 18(b)(2) of the Securities Act of 1933, the following notice and fee must be submitted:

(1) A signed Form NF , Uniform Notice Filing Form;
(2) A uniform consent to service of process, Form U-2 ; and
(3) The same fee as set forth in SDCL 47-31B-302(a)(1) for closed end management companies.


S.D. Admin. R. 20:08:07:03.01
30 SDR 211, effective July 1, 2004; 43 SDR 80, effective 12/6/2016

General Authority: SDCL 47-31B-302(a).

Law Implemented: SDCL 47-31B-103, 47-31B-302(a)(1) and (2), 47-31B-302(b), 47-31B-302(d).

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