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A.__The underlying viatical or life settlement transaction | | with the viator was not in violation of the Viatical and Life | | Settlements Act; |
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| | | B.__Such disclosure documents as the administrator, by rule | | or order, requires are delivered to each offeree or | | purchaser; and |
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| | | C.__Prior to any offer in this State, a notice specifying | | the terms of the offer is filed with the administrator | | together with a consent to service of process complying with | | section 16611, signed by the issuer, and a nonrefundable | | filing fee of $300 for each type or class of security being | | offered in this State and the administrator does not by | | order disallow the exemption within the next 5 full business | | days; or |
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| | | 26.__Nonpublic offerings under 4(2).__A security offered in a | | nonpublic offering under Section 4(2) of the federal Securities | | Act of 1933, 15 United States Code, Section 77d(2) if, no later | | than 15 days after the first sale in this State, a notice on | | "Form D," including the Appendix, as promulgated by the | | Securities and Exchange Commission, is filed with the | | administrator together with a consent to service of process | | complying with section 16611, signed by the issuer, and a | | nonrefundable filing fee of $300 for each type or class of | | security sold.__An additional nonrefundable late filing fee of | | $500 must be paid for a filing made between 16 and 30 days after | | the first sale in this State. |
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| | | §16203.__Additional exemptions and waivers |
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| | | If the administrator finds that it is consistent with the | | public interest and the protection of investors, a rule adopted | | or order issued under this chapter may: exempt a security, | | transaction or offer; exempt a class of securities, transactions | | or offers from any or all of the requirements of sections 16301 | | to 16306 and 16504; and waive, in whole or in part, any or all of | | the conditions for an exemption or offer under sections 16201 and | | 16202.__In any rule or order establishing an exemption for which | | a filing is required, the administrator may provide for a | | nonrefundable filing fee not to exceed $500. Rules adopted | | pursuant to this section are routine technical rules as defined | | in Title 5, chapter 375, subchapter 2-A. |
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| | | §16204. Denial, suspension, revocation, condition or limitation | | of |
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