Administrator of the Uniform Securities Act as set forth in 9 V.I.C. § 602(1) — 2006
w& Virgin Islands Office of the Lieutenant Governor Division of Banking and Insurance Kongens Gade #5049, Chartotte Amalic. St. Thomas. USVI. 00802 © (340) 774-7166 © Fax (340) 774-9458 No. 5/2006 ORDER WHEREAS, the Lieutenant Governor or his designee, as Administrator of the Uniform Securities Act as set forth in 9 V.I.C. § 602(1) and § 661(a), may issue forms and orders pursuant to 9 V.ILC. § 665(a)(1): and WHEREAS, in accordance with 9 V.ILC. §§ 622(a) and (b), the Administrator may require the filing of certain documents with respect to a security issued by an investment company that is a federal covered security. NOW, THEREFORE, the premises having been considered as set forth above, and the Administrator having found that this Order, in concert with 9 V.I.C § 665, is necessary or appropriate in the public interest and is consistent with the purpose of the Uniform Securities Act: it is hereby ORDERED that, in accordance with 9 V.I.C. …
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w& Virgin Islands Office of the Lieutenant Governor Division of Banking and Insurance Kongens Gade #5049, Chartotte Amalic. St. Thomas. USVI. 00802 © (340) 774-7166 © Fax (340) 774-9458 No. 5/2006 ORDER WHEREAS, the Lieutenant Governor or his designee, as Administrator of the Uniform Securities Act as set forth in 9 V.I.C. § 602(1) and § 661(a), may issue forms and orders pursuant to 9 V.ILC. § 665(a)(1): and WHEREAS, in accordance with 9 V.ILC. §§ 622(a) and (b), the Administrator may require the filing of certain documents with respect to a security issued by an investment company that is a federal covered security. NOW, THEREFORE, the premises having been considered as set forth above, and the Administrator having found that this Order, in concert with 9 V.I.C § 665, is necessary or appropriate in the public interest and is consistent with the purpose of the Uniform Securities Act: it is hereby ORDERED that, in accordance with 9 V.I.C. § 622(c) as set forth in Act 6678, a person making a Notice Filing for a security being offered pursuant to Regulation D 505 or D 506, shall file, within 15 days after the first sale in the Virgin Islands: Order No. 5/2006 1. Form D (Notice of Sale of Securities Pursuant to Regulation D, Section 4(6), and /or Uniform Limited Offering Exemption), including Part E and the appendix; 2. Form U-2 (Consent to Service of Process); 3. A filing fee of $1500.00; provided however, that late filings shall be subject to a late fee of $3000; and 4. A cover letter noting the first day of sale in the Virgin Islands; and It 1S FURTHER ORDERED that all applicants that have previously filed Form D (Notice of Sale of Securities Pursuant to Regulation D, Section 4 (6), and/or Uniform Limited Offering Exemption) must record all material amendments made thereto by submitting to the Division of Banking and Insurance the following information: 1. All documents evidencing material amendments made subsequent to applicant’s initial filing in the U.S.V.I. and all related information and exhibits; SS) An amendment filing fee of $50: and 3. Such other information or submission as the Administrator may request. Dated this / fe “Gay of February 2006 at St. Thomas} U. S. Virgin Islands. ONS Tae a Cle pay Deverita Carty Sturdivant Director Designee of the Lieutenant Governor/ Securities Administrator