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CHAPTER 20:08:07

 

NOTICE FILINGS FOR COVERED SECURITIES AND

REGISTRATION EXEMPTIONS

Section

20:08:07:01        Notice filing for open-end investment companies.

20:08:07:02        Notice filing for closed-end investment companies.

20:08:07:03        Notice filing for unit investment trusts.

20:08:07:03.01   Notice filing for face-amount certificate company.

20:08:07:03.02   Notice filing for Rule 504, 505, and 506 Reg. D offerings.

20:08:07:04        Repealed.

20:08:07:05        Repealed.

20:08:07:06        Repealed.

20:08:07:07        Repealed.

20:08:07:08        Repealed.

20:08:07:09        Repealed.

20:08:07:10        Repealed.

20:08:07:11        Repealed.

20:08:07:12        Repealed.

20:08:07:13        Nonprofit corporations.

20:08:07:14        Repealed.

20:08:07:15        Repealed.

20:08:07:16        Repealed.

20:08:07:17        Foreign cooperatives.

20:08:07:18        Repealed.

20:08:07:19        Repealed.

20:08:07:20        Unsolicited orders.

20:08:07:21        Real estate and mortgage-backed securities.

20:08:07:22        Repealed.

20:08:07:23        Sales to existing security holders/standby commissions.

20:08:07:24        Limited offerings general rules.

20:08:07:25        Intrastate limited offering transactional exemption.

20:08:07:26        Repealed.

20:08:07:27        Testing-the-waters exemption.

20:08:07:28        Repealed.

20:08:07:29        Model accredited investor exemption.

20:08:07:30        Manual exemption.

20:08:07:31        Viatical settlements.

20:08:07:32        Canadian-United States cross-border trading exemption.

20:08:07:33        Church extension fund securities.

20:08:07:34        Solicitation of interest.

20:08:07:35        Merger and consolidation.

20:08:07:36        Designated foreign jurisdiction.

20:08:07:37        Twenty-five purchasers exempt transaction.

20:08:07:38        Entities for economic development.

20:08:07:39        Isolated non-issuer exemption.

Appendix A  Statement of Issuer Form, repealed, 37 SDR 112, effective December 9, 2010.

Appendix B  Report of Sales Form, repealed, 37 SDR 112, effective December 9, 2010.

Appendix C  Consent to Service of Process Form U-2, repealed, 37 SDR 112, effective December 9, 2010.

Appendix D  Form D, repealed, 37 SDR 112, effective December 9, 2010.

Appendix E  Solicitation of Interest Form, repealed, 37 SDR 112, effective December 9, 2010.

Appendix F  Model Accredited Investor Form, repealed, 37 SDR 112, effective December 9, 2010.

Appendix G  Form NF, repealed, 37 SDR 112, effective December 9, 2010.


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