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Rule 20:08:07 NOTICE FILINGS FOR COVERED SECURITIES AND REGISTRATION EXEMPTIONS

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20:08:07:04 to 20:08:07:12         Repealed.

20:08:07:13                                Nonprofit corporations.

20:08:07:14 to 20:08:07:16         Repealed.

20:08:07:17                                Foreign cooperatives.

20:08:07:18 and 20:08:07:19  Repealed.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20:08:07:22                                Repealed.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20:08:07:26                                Repealed.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20:08:07:28                                Repealed.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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