Mutual Fund Filing and Report Requirements

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

(A.R.S. Section 44-3325)

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.

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Arizona Corporation Commission

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Phoenix, AZ 85007

 

Corporations Division

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Phoenix, AZ 85007

 

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