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Question 180.01

Question: Rule 236 provides an exemption from Securities Act registration for the aggregation of fractional shares in connection with certain transactions. The rule requires that specified information be furnished to the Commission at least 10 days prior to the offering. Is there a specific Securities Act form for this information?
Answer: No. A letter should be sent to the Commission that specifies the nature of the submission. No fee is applicable. [Jan. 26, 2009]

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