[§485-4.5]  Federal covered securities.  (a)  The commissioner, by rule or otherwise, may require the filing of any or all of the following documents with respect to a federal covered security under section 18(b)(2) of the Securities Act of 1933:

     (1)  Prior to the initial offer of a federal covered security in this State and for purposes of renewal, a copy of the registration statement filed by the issuer with the Securities and Exchange Commission, or in lieu of filing a registration statement, a notice as prescribed by the commissioner;

     (2)  A consent to service of process; and

     (3)  An initial filing fee of $200 and an annual renewal fee of $50 thereafter.  The renewal fee shall be collected within two months of the end of the investment or trust company's fiscal year.  With respect to an open-end management company, the fees shall be assessed per fund.

     (b)  The commissioner, by rule or otherwise, may require the issuer of any security that is a federal covered security under section 18(b)(4)(D) of the Securities Act of 1933, to file a notice no later than fifteen days after the first sale in this State of a federal covered security on Securities and Exchange Commission Form D or comparable form, together with a consent to service of process and a $200 filing fee.

     (c)  The commissioner, by rule or otherwise, may require the filing of any document filed with the Securities and Exchange Commission under the Securities Act of 1933, for any security that is a federal covered security under section 18(b)(4) of the Securities Act of 1933.

     (d)  The commissioner, by rule or otherwise, may waive any or all of the provisions of subsection (a), (b), or (c). [L 1998, c 258, pt of §1]