Sec. 02.02.09.06. Renewal Notice Filing-----Investment Companies

Latest version.

A. Renewal Notice Filing. An issuer shall renew its notice filing for a successive 1-year period by paying $500 as the initial part of its renewal fee and submitting to the Commissioner, within the due date under §B of this regulation, the remaining part of its fee required by Regulation .05 of this chapter.

B. Due Date for Renewal Notice Filing.

(1) Investment Companies Other Than Unit Investment Trusts.

(a) An issuer shall submit its renewal notice filing within 60 days after its fiscal year-end date.

(b) If an issuer changes its fiscal year-end date, its existing notice filing may not remain effective for more than 24 months.

(2) Unit Investment Trusts. An issuer shall submit its renewal notice filing within 60 days after expiration of effectiveness under Regulation .04E(2) of this chapter.

                    
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