230 R.I. Code R. 230-RICR-20-45-4.7

Current through December 3, 2024

Section 230-RICR-20-45-4.7 - Material Required to be Filed

A. Two (2) preliminary copies of the proxy statement and form of proxy and any other soliciting material to be furnished to stockholders concurrently therewith shall be filed with the Department at least ten days prior to the date definitive copies of such material are first sent or given to stockholders, or such a shorter period prior to that date as the Department may authorize upon a showing of good cause therefor.

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

C. Two (2) definitive copies of the proxy statement, form of proxy and all other soliciting material in the form in which this material is furnished to stockholders, shall be filed with, or mailed for filing to, the Department not later that the date such material is first sent or given to the stockholders.

D. Where any proxy statement, form of proxy or other material filed pursuant to these rules is amended or revised, two of the copies shall be marked to clearly show such changes.

E. Copies of replies to inquiries from stockholders 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 section.

F. Notwithstanding the provisions of § 4.7(A) and (B) and § 4.10(E) of this Part, copies of soliciting material in the form of speeches, press releases and radio or television scripts may, but need not, be filed with the Department prior to use or publication. Definitive copies, however, shall be filed with or mailed for filing to the Department, as required by § 4.7(C) of this Part not later than the date such material is used or published. The provisions of § 4.7(A) and (B) of this Part and of § 4.10(E) of this Part shall apply, however, to any reprints or reproductions of all or any part of such material.

230 R.I. Code R. 230-RICR-20-45-4.7