| | | A.__The uniform investment company notice filing form; |
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| | | B.__A consent to service of process complying with section | | 16611 signed by the issuer; and |
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| | | C.__The payment of a nonrefundable fee of $1,000 for each | | type or class of security offered. |
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| | | 2.__Notice filing effectiveness and renewal.__A notice filing | | under subsection 1 is effective for one year commencing on the | | date of the notice filing, the date of effectiveness of the | | offering filed with the Securities and Exchange Commission or a | | date selected by the filer, whichever date is latest.__On or | | before expiration, a notice filing may be renewed by filing the | | uniform investment company notice filing form and by paying a | | nonrefundable renewal fee of $1,000 for each type or class of | | security offered.__A previously filed consent to service of | | process complying with section 16611 may be incorporated by | | reference in a renewal.__A renewed notice filing becomes | | effective upon the expiration of the filing being renewed. |
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| | | 3.__Notice filings for federal covered securities under | | Section 18(b)(4)(D).__A security that is a federal covered | | security under Section 18(b)(4)(D) of the federal Securities Act | | of 1933, 15 United States Code, Section 77r(b)(4)(D) that is not | | otherwise exempt under sections 16201 to 16203 may not be sold in | | this State unless the following records are filed with the | | administrator no later than 15 days after the first sale in this | | State: |
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| | | A.__A notice on "Form D," including the Appendix, as | | promulgated by the Securities and Exchange Commission; |
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| | | B.__A consent to service of process complying with Section | | 16611, signed by the issuer; and |
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| | | C.__The payment of a nonrefundable fee of $300 per type or | | class of security sold. |
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| | | A notice filer making a filing between 16 and 30 days after | | the first sale in this State shall pay an additional | | nonrefundable late filing fee of $500. |
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| | | 4. Stop orders.__Except with respect to a federal covered | | security under Section 18(b)(1) of the federal Securities Act of | | 1933, 15 United States Code, Section 77r(b)(1), if the | | administrator finds that there is a failure to comply with a | | notice or fee requirement of this section or any rule adopted | | under this section, the administrator may issue a stop order | | suspending the offer and sale of a federal covered security in |
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