Ala. Admin. Code r. 482-1-042-.09

Current through Register Vol. 43, No. 1, October 31, 2024

Section 482-1-042-.09 - Material Required To Be Filed

(1) Two preliminary copies of the proxy statement and form of proxy and any other soliciting material to be furnished to security holders concurrently therewith (or the information statement pursuant to Schedule C) shall be filed with the Commissioner at least 10 days prior to the date definitive copies of such material are first sent or given to security holders, or such shorter period prior to that date as the Commissioner may authorize upon a showing of good cause therefor.

(2) Two preliminary copies of any additional soliciting material relating to the same meeting or subject matter to be furnished to security holders subsequent to the proxy statement shall be filed with the Commissioner at least two days (exclusive of Saturdays, Sundays and holidays) prior to the date copies of such material are first sent or given to security holders, or such shorter period prior to such date as the Commissioner may authorize upon a showing of good cause therefor.

(3) Two definitive copies of the proxy statement, form of proxy and all other soliciting material (or the information statement) in the form in which such material is furnished to security holders, shall be filed with, or mailed for filing to, the Commission no later than the date such material is first sent or given to any security holder.

(4) Copies of replies to inquiries from security holders requesting further information and copies of communications which do no more than request that forms of proxy theretofore solicited be signed and returned need not be filed pursuant to this rule.

(5) Notwithstanding the provisions of paragraphs (1) and (2) of this rule and of paragraph (5) of Rule 482-1-042-.14, copies of soliciting material in the form of speeches, press releases and radio or television scripts may, but need not, be filed with the Commissioner prior to use or publication. Definitive copies, however, shall be filed with or mailed for filing to the Commissioner as required by Rule 482-1-042-.09(3) not later than the date such material is used or published. The provisions of paragraph (1) and (2) of this rule and of paragraph (5) of Rule 482-1-042-.14 shall apply, however, to any reprints or reproductions of all or any part of such material.

(6) Where any proxy statement, form of proxy or other material filed pursuant to this chapter is amended or revised, one of the copies of such amended or revised material filed pursuant to this chapter shall be marked to indicate clearly and precisely the changes effected therein.

Author: Commissioner of Insurance

Ala. Admin. Code r. 482-1-042-.09

New Rule: October 5, 1969; effective October 15, 1969. Revised: February 12, 1981; effective June 1, 1981. Filed for codification in the Alabama Administrative Code by the Department of Insurance on July 5, 2005, pursuant to the Code of Ala. 1975, § 27-7-43.

Statutory Authority:Code of Ala. 1975, §§ 27-2-7, 27-2-17, 27-29-8.