Commissioner’s Release: 106-C

ACCEPTANCE OF FORM NF TO SATISFY CALIFORNIA’S NOTICE FILING REQUIREMENT FOR OFFERINGS OF INVESTMENT COMPANY SECURITIES

Pete Wilson, Governor
Date: July 11, 1997

Keith Paul Bishop, Commissioner

Commissioner’s Release No. 104-C (December 18, 1996) sets forth the notice filing and fee payment requirements for any security issued by an investment company registered as an open-end investment company or unit investment trust under the Investment Company Act of 1940, as amended, as a result of the passage of the National Securities Markets Improvement Act of 1996 (“NSMIA”). The purpose of this release is to notify interested persons that, pursuant to Corporations Code Section 25610, the Department of Corporations will presently accept the filing of the Uniform Form NF developed by the North American Securities Administrators Association (“NASAA”) in lieu of the Department’s current notice form filed pursuant to Corporations Code Section 25100(u). [Formerly Corporations Code Section 25100(t).]

WILLIAM KENEFICK
Assistant Commissioner
Office of Policy