North Dakota Century Code Title 10. Corporations § 10-04-08.4. Federal covered security

a. A copy of the issuer's registration statement or a notice of intent in writing or electronically for an indefinite or definite dollar amount for each security or class of security on a form prescribed by the commissioner.

b. A unit investment trust may file an initial notice filing for a definite dollar amount or an indefinite dollar amount.  At the time of the initial notice filing for a definite dollar amount, the issuer shall pay a filing fee of one-tenth of one percent of the first seven hundred fifty thousand dollars and one-twentieth of one percent of any amount in excess of seven hundred fifty thousand dollars of the aggregate offering price of each security or class of security.  In no event, however, may such filing fee be less than one hundred twenty-five dollars for each security or class of security.

c. An investment company or unit investment trust may file an initial notice filing for an indefinite dollar amount and pay a filing fee of four hundred dollars for each security or class of security.

d. A notice filing for a definite dollar amount may be increased before the expiration date on the certificate of effectiveness at the same reduced fee, which must be calculated as provided in subdivision b as a separate fee for each additional amount.

e. A notice filing for a definite dollar amount may be renewed for additional periods of one year by filing, at least fifteen days prior to its expiration, a renewal and sales report notice with a fee of one hundred dollars to renew the unsold balance.

f. A notice filing for an indefinite dollar amount may be renewed by filing, within sixty days following the issuer's fiscal year, a renewal and sales report notice with a fee of one hundred twenty-five dollars.

g. A notice filing may be terminated by the issuer upon providing the commissioner a notice of such termination.

h. The provision for each security or class of security in this subsection is effective when the federal registration statement becomes effective with the securities and exchange commission or the date the notice of intent is received by the commissioner, whichever is later.  A filing notice for a definite dollar amount is effective for a period of eighteen months from the date of effectiveness.

i. A copy of any document filed with the securities and exchange commission as the commissioner may require.

a. A notice of intent is filed in writing or electronically on SEC form D or other prescribed form with a consent to service of process and a nonrefundable filing fee of one hundred dollars within fifteen calendar days after the first sale in this state.

b. A copy of any document filed with the securities and exchange commission is provided, as the commissioner may require.

c. The notice filing is effective for a period of one year from the date the filing is received by the commissioner.

d. The filing fee shall be two hundred fifty dollars in the event the filing is not made within the time period specified in subdivision a.

No security may be offered or sold under this subsection, except through or by a broker-dealer and agent registered in accordance with section 10-04-10, unless it is offered and sold through an officer, director, governor, or partner of the issuer and no commission or other remuneration is paid, either directly or indirectly.