Amendment to requirement for notice filing on behalf of an investment company
LS \¥ zin Islands Office oft. Lieutenant Governor Division of Banking and Insurance Kongens Gade No. [8, Charlotte Amalie, St. Thomas, USVI, 00802 - (340) 774-7166 + Fax (340) 774-9458 No. 2A/2005 ORDER WHEREAS, on February 10, 2005, the Administrator of the Uniform Securities Act issued Order No. 2 pertinent to effecting an initial notice filing in concert with 9 V.LC. § 622(a) as set forth in Act 6678; and WHEREAS, 9 V.LC. § 622(a), as enacted into law by Act 6678, was amended by Act 6727 which became effective on March 5, 2005 NOW, THEREFORE, the premises having been considered as set forth above, and the Administrator having found that this Order, in concert with 9 V._LC. § 665, is necessary or appropriate in the public interest and is consistent with the purposes of the Uniform Securities Act; it is hereby ORDERED that Order No. …
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LS \¥ zin Islands Office oft. Lieutenant Governor Division of Banking and Insurance Kongens Gade No. [8, Charlotte Amalie, St. Thomas, USVI, 00802 - (340) 774-7166 + Fax (340) 774-9458 No. 2A/2005 ORDER WHEREAS, on February 10, 2005, the Administrator of the Uniform Securities Act issued Order No. 2 pertinent to effecting an initial notice filing in concert with 9 V.LC. § 622(a) as set forth in Act 6678; and WHEREAS, 9 V.LC. § 622(a), as enacted into law by Act 6678, was amended by Act 6727 which became effective on March 5, 2005 NOW, THEREFORE, the premises having been considered as set forth above, and the Administrator having found that this Order, in concert with 9 V._LC. § 665, is necessary or appropriate in the public interest and is consistent with the purposes of the Uniform Securities Act; it is hereby ORDERED that Order No. 2, issued on February 10, 2005, is amended as follows: a) The fourth paragraph thereof is amended to read: “ORDERED that a person making an initial notice filing on behalf of an investment company must submit to the Division of Banking and Insurance the following: Either a Form NF (Uniform ..ivestment Company Notice Filing); or all records that are part of a federal registration statement filed with the SEC (Securities and Exchange Commission); 2. Form U-2 (Consent to Service of Process);and 3. A filing fee of $500 per fund or trust.” b) The fifth Paragraph thereof is amended to read: “FURTHER ORDERED that, in accordance with I VIC. § 622(c), 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: l. 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 $500.00; provided, however, that late filings shall be subject to a late fee of $600; and 4. A cover letter noting the first day of sale in the Virgin Islands.” th . 4 Dated this 7.27 day of March 2005 at St. Thomas, U.S irgin Wlands. WN tHe { r ‘St ed : “er A et eZ Oe eee —— Deverita Carty Sfurdi vant Director Designee of the Lieutenant Govermor/ Securities Administrator