CHAPTER 210. RETROACTIVE REGISTRATION
Sec.
210.010. Retroactive registration of certain investment company securities.
§ 210.010. Retroactive registration of certain investment company securities.
(a) An open-end or closed-end investment company, face amount certificate company or unit investment trust, as those persons are classified in the Investment Company Act of 1940 (15 U.S.C.A. § § 80a-1—80b-21), which, during the effective period of registration under section 205 or 206 of the act (70 P. S. § § 1-205 and 1-206) sold securities in this Commonwealth in excess of the aggregate amount registered for sale in this Commonwealth under section 205 or 206, may apply to the Commission on Form 210 in accordance with the General Instructions thereto to register the securities retroactive to the date of the initial registration.
(b) No application filed on Form 210 may be granted if, at the time the application is filed with the Commission, a civil, criminal or administrative proceeding is pending alleging violations of section 201 of the act (70 P. S. § 1-201) for the sale of the securities in this State or the securities were sold more than 24 months prior to the date Form 210 was filed with the Commission.
(c) An application filed on Form 210 shall be accompanied by a check made payable to the ‘‘Commonwealth of Pennsylvania’’ in an amount which equals the applicable oversale assessment in section 602.1(d) of the act (70 P. S. § 1-602.1(d)).
The provisions of this Chapter 210 issued under sections 203(d), (o) and (p), 205, 206, 207(n), 210, 301, 303, 504, 603(a) and (c), 606(d) and 609 of the Pennsylvania Securities Act of 1972 (70 P. S. § § 1-203(d), (o) and (p), 1-205, 1-206, 1-207(n), 1-210, 1-301, 1-303, 1-504, 1-603(a) and (c), 1-606(d) and 1-609); and the Takeover Disclosure Law (70 P. S. § 74).
The provisions of this Chapter 210 adopted September 22, 1995, effective September 23, 1995, 25 Pa.B. 3994; amended December 8, 2006, effective December 9, 2006, 36 Pa.B. 7456. Immediately preceding text appears at serial pages (317615) to (317616), (200123) to (200124) and (317617).
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