General Rules and Regulations for
Rule 303 -- Incorporation by Reference [Effective until Nov. 4, 2002.]
The following documents shall not be incorporated
by reference into an electronic filing:
Any document filed in paper in violation
of mandated electronic filing requirements;
Any document filed in paper pursuant to a
hardship exemption for which a required confirming electronic copy has
not been submitted.
For a registered investment company or a
business development company, documents that have not been filed in electronic
format, unless the document has been filed in paper under a hardship exemption
(Rule 201 or Rule 202)
and any required confirming copy has been submitted.
If any portion of the annual or quarterly report to security holders is incorporated
by reference into any electronic filing, such portion of the annual or quarterly
report to security holders shall be filed in electronic format as an exhibit to the
filing, as required by Item 601(b)(13) of
Regulation S-K and Item 601(b)(13) of Regulation
S-B. This requirement shall not apply to incorporation by reference by an investment
company from an annual or quarterly report to security holders.
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