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Oklahoma Investment Company Notice
Filing Requirements
The notice filing
provisions of Oklahoma law to be followed by Investment Companies that are registered, or
have filed a registration statement, under the Investment Company Act of 1940 provide for "class based" notice
filing and can be found in sections 1-302(A) & (B) of the Oklahoma Uniform Securities Act 0f 2004 and
660:11-11-60 of the Rules of the Oklahoma
Securities Commission and the Administrator of the Department of Securities. Such provisions have been made to simplify and make more uniform with other
jurisdictions the investment company notice filing requirements. Set forth below is a
brief summary of the provisions.
Each Notice filed shall be "class based"
in that a separate notice must be filed for each class of security of an issuer to be
offered in Oklahoma.
- Each Notice filed shall provide for an Indefinite amount
of sales of the described class of security.
- No sales reports will need to be filed in connection with a Notice filed
- Each Notice filed shall be accompanied by a notice filing fee of $500.00.
- Each Notice filed will initially be effective for a one (1) year period of effectiveness.
- Each Notice filed may be renewed annually for an
additional one (1) year period of effectiveness by submitting a properly completed
Form NF
indicating the ODS File Number of the Notice for which renewal is requested and submission
of the required $500.00 renewal filing fee on or before the expiration of
the most recently effective notice period.
If you have questions
regarding compliance with the notice provisions, please contact our Registrations Division at (405) 280-7700, and select option 2. You may also
submit your question in writing.
Form NF - Uniform Investment Company Notice Filing
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