Section 230-RICR-50-05-3.7 - Federal Covered Securities - Notice Filing Requirements under Section 18(b)(3) of the Securities Act of 1933 (Reg. A+, Tier 2)A. Federal Covered Securities, specifically securities issued under Section 18(b)(3) of the Securities Act of 1933, 15 U.S.C. § 77r(b)(3), which are offered or sold within this state, are required to file notices with the Securities Division.B. Pursuant to R.I. Gen. Laws § 7-11-307(c) of the RIUSA, for a covered security under Section 18(b)(3) of the Securities Act of 1933, 15 U.S.C. § 77r(b)(3), unless the security is exempted by R.I. Gen. Laws § 7-11-401 or is sold in an exempt transaction under R.I. Gen. Laws § 7-11-402, a notice filing shall be filed with the director prior to the initial offer of such security in this state, which filing shall consist of: 1. A Form U-1, the Uniform Application to Register Securities or a Uniform Notice Filing of Regulation A - Tier 2 Offering; and 2. The filing fee set forth in R.I. Gen. Laws § 7-11-307(a)(1).3. If consent to service of process is not included in the version of the form submitted in § 3.7(B)(1) of this Part, then the filing must also include a Form U-2. C. A renewed notice filing shall take effect upon the expiration of the previous notice filing.230 R.I. Code R. 230-RICR-50-05-3.7