Open-End Investment Companies
(A.R.S. Section 44-3322 through 44-3324)
Initial Filing:
Form NF, Form U-2, filing fee.
Renewal Filing:
Form NF, filing fee, sales report, sales report fee. Renewal filings are effective for one year.
Final Sales Report:
May be required, see A.R.S §§ 44-3323(D) and 44-3324(C).
Late Sales Report Fee:
$200 in addition to late filing fees, see A.R.S. § 44-3324(G).
Late Filing Fee:
Required for all late filings, assessed in addition to any other fees and late fees, see A.R.S. § 44-3324(G).
Unit Investment Trusts
(A.R.S. Section 44-3322 through 44-3324)
Initial Filing:
Form NF, Form U-2, filing fee.
Renewal Filing:
Form NF, filing fee. Renewal filings are effective for one year.
Annual Sales Report:
May be required, see A.R.S. §§ 44-3323(E) and 44-3324(E)(2).
Final Sales Report:
May be required, see A.R.S. §§ 44-3323(F) and 44-3324(F).
Late Sales Report Fee:
$200 in addition to late filing fees, see A.R.S. § 44-3324(G)
Late Filing Fee:
Required for all late filings, assessed in addition to any other fees and late fees, see A.R.S. § 44-3324(G)
Closed-End Investment Companies
Initial Filing:
Form NF, Form U-2, filing fee.
Renewal Filing:
Form NF, filing fee. Renewal filings are effective for one year.
Annual Sales Report:
Required, see see A.R.S. § 44-3325(D).
Final Sales Report:
Required, see A.R.S. § 44-3325(D).
Late Sales Report Fee:
$200.
Oversales:
In the event of oversales, contact the Securities Division at (602) 542-0326 or SEC-AOD@azcc.gov.
NOTE: Make checks payable to the Arizona Corporation Commission. File with the Arizona Corporation Commission’s Securities Division, 1300 West Washington, 3rd Floor, Phoenix, Arizona 85007.