<html> <head> <meta http-equiv=Content-Type content="text/html; charset=windows-1252"> <meta name=Generator content="Microsoft Word 15 (filtered)"> <style> <!-- /* Font Definitions */ @font-face {font-family:"Cambria Math"; panose-1:2 4 5 3 5 4 6 3 2 4;} @font-face {font-family:Calibri; panose-1:2 15 5 2 2 2 4 3 2 4;} /* Style Definitions */ p.MsoNormal, li.MsoNormal, div.MsoNormal {margin:0in; margin-bottom:.0001pt; text-align:justify; font-size:12.0pt; font-family:"Times New Roman",serif; color:black;} p.MsoBodyTextIndent, li.MsoBodyTextIndent, div.MsoBodyTextIndent {mso-style-link:"Body Text Indent Char"; margin-top:0in; margin-right:0in; margin-bottom:0in; margin-left:1.3in; margin-bottom:.0001pt; text-align:justify; text-indent:-1.3in; font-size:12.0pt; font-family:"Times New Roman",serif; color:black;} a:link, span.MsoHyperlink {color:blue; text-decoration:underline;} a:visited, span.MsoHyperlinkFollowed {color:purple; text-decoration:underline;} span.BodyTextIndentChar {mso-style-name:"Body Text Indent Char"; mso-style-link:"Body Text Indent";} .MsoChpDefault {font-size:10.0pt; font-family:"Calibri",sans-serif; color:black;} /* Page Definitions */ @page WordSection1 {size:8.5in 11.0in; margin:49.7pt 63.35pt 49.7pt 1.0in;} div.WordSection1 {page:WordSection1;} --> </style> </head> <body lang=EN-US link=blue vlink=purple> <div class=WordSection1> <p class=MsoNormal align=center style='text-align:center'><b>CHAPTER 20:08:07</b></p> <p class=MsoNormal align=center style='text-align:center'><b>&nbsp;</b></p> <p class=MsoNormal align=center style='text-align:center'><b>NOTICE FILINGS FOR COVERED SECURITIES AND</b></p> <p class=MsoNormal align=center style='text-align:center'><b>REGISTRATION EXEMPTIONS</b></p> <p class=MsoNormal>&nbsp;</p> <p class=MsoNormal>&nbsp;</p> <p class=MsoNormal>Section</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:01">20:08:07:01</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Notice filing for open-end investment companies.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:02">20:08:07:02</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Notice filing for closed-end investment companies.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:03">20:08:07:03</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Notice filing for unit investment trusts.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:03.01">20:08:07:03.01</a>&nbsp;&nbsp; Notice filing for face-amount certificate company.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:03.02">20:08:07:03.02</a>&nbsp;&nbsp; Notice filing for Rule 504 and 506 Reg. D offerings.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:04">20:08:07:04</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:05">20:08:07:05</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:06">20:08:07:06</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:07">20:08:07:07</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:08">20:08:07:08</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:09">20:08:07:09</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:10">20:08:07:10</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:11">20:08:07:11</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:12">20:08:07:12</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:13">20:08:07:13</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Nonprofit corporations.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:14">20:08:07:14</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:15">20:08:07:15</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:16">20:08:07:16</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:17">20:08:07:17</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Foreign cooperatives.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:18">20:08:07:18</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:19">20:08:07:19</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:20">20:08:07:20</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Unsolicited orders.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:21">20:08:07:21</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Real estate and mortgage-backed securities.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:22">20:08:07:22</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:23">20:08:07:23</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Sales to existing security holders/standby commissions.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:24">20:08:07:24</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Limited offerings general rules.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:25">20:08:07:25</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Intrastate limited offering transactional exemption.</p> <p class=MsoBodyTextIndent><a href="DisplayRule.aspx?Rule=20:08:07:26">20:08:07:26</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:27">20:08:07:27</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Testing-the-waters exemption.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:28">20:08:07:28</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:29">20:08:07:29</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Model accredited investor exemption.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:30">20:08:07:30</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Manual exemption.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:31">20:08:07:31</a>&nbsp;&nbsp; &nbsp;&nbsp;&nbsp;&nbsp; Viatical settlements.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:32">20:08:07:32</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Canadian-United States cross-border trading exemption.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:33">20:08:07:33</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Church extension fund securities.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:34">20:08:07:34</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Solicitation of interest.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:35">20:08:07:35</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Merger and consolidation.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:36">20:08:07:36</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Designated foreign jurisdiction.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:37">20:08:07:37</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Twenty-five purchasers exempt transaction.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:38">20:08:07:38</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Entities for economic development.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:39">20:08:07:39</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Isolated non-issuer exemption.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:40">20:08:07:40</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Request for transactional exemption pursuant to a fairness determination.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:41">20:08:07:41</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Notice filing requirement for federal crowdfunding offerings.</p> <p class=MsoNormal><a href="DisplayRule.aspx?Rule=20:08:07:42">20:08:07:42</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Notice filing requirement for Regulation A - Tier 2 offering.</p> <p class=MsoNormal style='margin-left:1.25in;text-indent:-1.25in'><a href="DisplayRule.aspx?Rule=20:08:07:43">20:08:07:43</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Transactional exemption from registration for issuers that comply with ongoing reporting requirements under Tier 2 of Regulation A.</p> <p class=MsoNormal>Appendix A&nbsp; Statement of Issuer Form, repealed, 37 SDR 112, effective December 9, 2010.</p> <p class=MsoNormal>Appendix B&nbsp; Report of Sales Form, repealed, 37 SDR 112, effective December 9, 2010.</p> <p class=MsoNormal style='margin-left:1.1in;text-indent:-1.1in'>Appendix C&nbsp; Consent to Service of Process Form U-2, repealed, 37 SDR 112, effective December 9, 2010.</p> <p class=MsoNormal>Appendix D&nbsp; Form D, repealed, 37 SDR 112, effective December 9, 2010.</p> <p class=MsoNormal>Appendix E&nbsp; Solicitation of Interest Form, repealed, 37 SDR 112, effective December 9, 2010.</p> <p class=MsoNormal>Appendix F&nbsp;&nbsp; Model Accredited Investor Form, repealed, 37 SDR 112, effective December 9, 2010.</p> <p class=MsoNormal>Appendix G&nbsp; Form NF, repealed, 37 SDR 112, effective December 9, 2010.</p> <p class=MsoNormal>&nbsp;</p> <p class=MsoNormal>&nbsp;</p> </div> </body> </html>