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SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-8A
NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a)
OF THE INVESTMENT COMPANY ACT OF 1940
The undersigned investment company hereby notifies the Securities and
Exchange Commission that it registers under and pursuant to the provision of
Section 8(a) of the Investment Company Act of 1940 and in connection with such
notification of registration submits the following information:
Name: BERTHEL SBIC, LLC
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Address of Principal Business Office (No. & Street, City, State, Zip Code):
100 Second Street, S.E., Cedar Rapids, IA 52401
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Telephone Number (including area code): 319-365-2506
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Name and address of agent for service of process:
Leslie D. Smith, Secretary
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100 Second Street S.E., Cedar Rapids, IA 52401
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Check appropriate box:
Registrant is filing a Registration Statement pursuant to Section 8(b)
of the Investment Company Act of 1940 concurrently with the filing of form
N-8A: YES X NO
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Pursuant to the requirements of the Investment Company Act of 1940, the
registrant has caused this notification of registration to be duly signed on
its behalf, of the city of Cedar Rapids and state of Iowa on the 17th day of
October, 1997.
Signature: BERTHEL SBIC, LLC
By: /s/ James D. Thorp
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James D. Thorp
Attest:
/s/ Leslie D. Smith
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Leslie D. Smith
Secretary
