Ala. Admin. Code r. 830-X-4-.20

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

Section 830-X-4-.20 - Separate Registration Of Portfolios And Series Issued By Open-End Management Investment Companies

(1) Open-end management investment companies which intend to register more than one portfolio or series must make a separate registration filing for each additional portfolio or series to be registered.

(2) Any document or exhibits previously on file may be incorporated by reference.

(3) A separate U-1 application must be used for each portfolio or series registration filing unless Rule 830-X-4-.20(4) is applicable. A separate filing fee as calculated by Code of Ala. 1975, Section 8-6-8, must be paid for each portfolio or series registration filing, and a separate certificate will be issued for each portfolio or series registered.

(4) The same U-1 application may be used for each portfolio or series registration filing provided the portfolios or series listed on the U-1 share the same federal registration statement and will go effective with the SEC simultaneously. However, a separate filing fee as calculated by Code of Ala. 1975, Section 8-6-8, must be paid for each portfolio or series registration filing, and a separate certificate will be issued for each portfolio or series registered.

Author:

Ala. Admin. Code r. 830-X-4-.20

Filed September 28, 1990.

Statutory Authority:Code of Ala. 1975, § 8-6-23.