| Notice Filed with SOS |
08/28/2008 |
| Rule |
ProposedRuleAttach2008-00936.RTF |
| Additional Information |
AddInfoAttach2008-00936.DOC |
| Statutory Authority |
Section 11-51-704 |
| Description of Subjects/Issues |
The public hearing is being held to revise Rule 51-3.5 concerning the filing requirements for the Investment Company Exemption under ? 11-51-307(1)(k), and Rule 51-3.7 concerning the new SEC requirement that Form D be filed electronically. Additionally, the hearing will involve the implementation of the NASAA Model Rule on the use of senior specific certifications and professional designations. |
| Purpose/Objective of Rule |
Rule 51-3.5 is being revised to meet the filing requirements for the Investment Company Exemption under secton 11-51-307(1)(k). Rule 51-3.7 is being revised to meet the new SEC requirment that Form D be filed electronically. And Rule 51-4.7 and 4.8(IA) are being modified to implement the NASAA Model Rule on senior designations. |
| Basis And Purpose |
BasisandPurposeAttachment2008-00936.DOC
|
| Submitted in response to issues raised by COLS/OLLS? |
No
|
| Is this rule adopted in response to recent legislation? |
|
| Hearing Date |
10/03/2008 |
| Hearing Time |
09:00 AM |
| Hearing Location |
Division of Securities, 1560 Broadway, 9th Floor, Conference Room 900, Denver, CO 80202 |
| Contact Name |
Gerald Rome |
| Contact Title |
Deputy Securities Commissioner |
| Contact Telephone |
303-894-2520 |
| Contact email |
gerald.rome@dora.state.co.us |