Oregon Department of Consumer and Business Services, Finance and Securities Regulation

Rule Rule 441-049-1031
Investment Company Notice Filing


(1)

An investment company notice filing shall comply with this rule.

(2)

The notice required by ORS 59.049 (Federal covered securities exempt from registration) shall:

(a)

Identify the portfolios offered through the same SEC registration; and

(b)

Subject to section (3) of this rule, be filed on NASAA Form NF.

(3)

In lieu of the notice provided in section (2) of this rule, if the issuer follows ORS 59.049 (Federal covered securities exempt from registration)(1), and files a copy of its registration statement as filed with the SEC, the issuer shall advise the Director of the number of portfolios covered by the registration statement and pay fees as provided in OAR 441-049-1001 (Fees for Federal Covered Securities Notice Filings).
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Last accessed
Jun. 8, 2021