48-2-126. Exemptions from notice filing and fee requirements.
Notwithstanding the provisions of § 48-2-125(a)(1)(A) and (B), the following covered securities are exempt from the notice filing and fee requirements set forth in § 48-2-125:
(1) Any covered security sold to an institutional investor, as defined under § 48-2-102(8);
(2) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal securities registration pursuant to § 3(a)(2) of the Securities Act of 1933;
(3) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal securities registration pursuant to § 3(a)(3) of the Securities Act of 1933;
(4) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal securities registration pursuant to § 3(a)(5) of the Securities Act of 1933;
(5) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal securities registration pursuant to § 3(a)(6) of the Securities Act of 1933;
(6) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal securities registration pursuant to § 3(a)(7) of the Securities Act of 1933;
(7) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is sold in a transaction exempt from federal registration pursuant to § 3(a)(9) of the Securities Act of 1933;
(8) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is sold in a transaction exempt from federal registration pursuant to § 3(a)(10) of the Securities Act of 1933;
(9) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal registration pursuant to § 3(a)(12) of the Securities Act of 1933;
(10) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal registration pursuant to § 3(a)(13) of the Securities Act of 1933;
(11) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is determined, by rule or order of the commissioner, that such notice filing is not necessary for the protection of investors; and
(12) Any security issued by a unit investment trust that is registered under the federal Investment Company Act of 1940, as amended, if:
(A) The units have been the subject of a previous notice filing and fee under this part and have been sold;
(B) The units are offered or sold by a broker-dealer registered under this part; and
(C) The units are sold by or on behalf of a sponsor or depositor of the unit investment trust or affiliate of the sponsor or depositor.
48-2-126. Exemptions from notice filing and fee requirements.
Notwithstanding the provisions of § 48-2-125(a)(1)(A) and (B), the following covered securities are exempt from the notice filing and fee requirements set forth in § 48-2-125:
(1) Any covered security sold to an institutional investor, as defined under § 48-2-102(8);
(2) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal securities registration pursuant to § 3(a)(2) of the Securities Act of 1933;
(3) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal securities registration pursuant to § 3(a)(3) of the Securities Act of 1933;
(4) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal securities registration pursuant to § 3(a)(5) of the Securities Act of 1933;
(5) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal securities registration pursuant to § 3(a)(6) of the Securities Act of 1933;
(6) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal securities registration pursuant to § 3(a)(7) of the Securities Act of 1933;
(7) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is sold in a transaction exempt from federal registration pursuant to § 3(a)(9) of the Securities Act of 1933;
(8) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is sold in a transaction exempt from federal registration pursuant to § 3(a)(10) of the Securities Act of 1933;
(9) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal registration pursuant to § 3(a)(12) of the Securities Act of 1933;
(10) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal registration pursuant to § 3(a)(13) of the Securities Act of 1933;
(11) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is determined, by rule or order of the commissioner, that such notice filing is not necessary for the protection of investors; and
(12) Any security issued by a unit investment trust that is registered under the federal Investment Company Act of 1940, as amended, if:
(A) The units have been the subject of a previous notice filing and fee under this part and have been sold;
(B) The units are offered or sold by a broker-dealer registered under this part; and
(C) The units are sold by or on behalf of a sponsor or depositor of the unit investment trust or affiliate of the sponsor or depositor.
48-2-126. Exemptions from notice filing and fee requirements.
Notwithstanding the provisions of § 48-2-125(a)(1)(A) and (B), the following covered securities are exempt from the notice filing and fee requirements set forth in § 48-2-125:
(1) Any covered security sold to an institutional investor, as defined under § 48-2-102(8);
(2) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal securities registration pursuant to § 3(a)(2) of the Securities Act of 1933;
(3) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal securities registration pursuant to § 3(a)(3) of the Securities Act of 1933;
(4) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal securities registration pursuant to § 3(a)(5) of the Securities Act of 1933;
(5) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal securities registration pursuant to § 3(a)(6) of the Securities Act of 1933;
(6) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal securities registration pursuant to § 3(a)(7) of the Securities Act of 1933;
(7) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is sold in a transaction exempt from federal registration pursuant to § 3(a)(9) of the Securities Act of 1933;
(8) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is sold in a transaction exempt from federal registration pursuant to § 3(a)(10) of the Securities Act of 1933;
(9) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal registration pursuant to § 3(a)(12) of the Securities Act of 1933;
(10) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is exempt from federal registration pursuant to § 3(a)(13) of the Securities Act of 1933;
(11) Any security that is defined to be a covered security pursuant to § 48-2-102(7) and is determined, by rule or order of the commissioner, that such notice filing is not necessary for the protection of investors; and
(12) Any security issued by a unit investment trust that is registered under the federal Investment Company Act of 1940, as amended, if:
(A) The units have been the subject of a previous notice filing and fee under this part and have been sold;
(B) The units are offered or sold by a broker-dealer registered under this part; and
(C) The units are sold by or on behalf of a sponsor or depositor of the unit investment trust or affiliate of the sponsor or depositor.
