PA- Pennsylvania Retroactive Registration of Investment Company Securities Form-210

The PA Retroactive Registration of Investment Company Securities Form-210 should be completed and filed by issuers of open-end or closed-end investment companies, face amount certificate companies or unit investment trusts classified in the Investment Company Act of 1940.  An effective registration pursuant to the Pennsylvania Securities Act of 1972, Section 205 or 206 must be active at the time the securities that are the subject of the application seeking retroactive registration pursuant to Section 210 of the Pennsylvania Securities Act of 1972.  Form-210 must be filed within 24 months from the date of first sale of securities in the state of Pennsylvania.

Version/Update: V.U/03/2016

Total Page Count/Format: 4/.pdf

Source/Author(s): Pennsylvania Department of Banking and Securities