Securities Division
Matthew J. Neubert - Director
1300 W. Washington St. 3rd Floor
Phoenix, AZ 85007
(602) 542-4242
(866) 837-4399
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                                                                   Mutual Funds 

Filing and Fee Requirement for Open-End Investment Companies 

To make initial filing, file Form NF, Form U-2, and filing fee.  Filing is effective until two months after the fiscal year end.  To make a renewal filing, no later than two months after fiscal year end, file Form NF, filing fee, sales report, and sales report fee.  Renewal filing is effective for one year.  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.
 
Initial filing
Effective from latter of filing date or SEC effective date until 2 months after end of fiscal year.  May pay a minimum of $200 or a maximum of $3,500.  Companies that pay the maximum are not required to file a sales report at the expiration of the notice period. 
Renewal filing
Due no later than 2 months after end of fiscal year.  Effective until 2 months after end of fiscal year.  Filing fee is the same as for initial filing. 
Annual Sales Report if renewing
If the maximum fee was not paid with the initial or renewal filing, a sales report is due no later than 2 months after end of fiscal year.  Fee is 1/10 of 1% of aggregate dollar amount of securities actually sold during previous fiscal year minus $200 up to a maximum of $3,300.
Annual Sales Report if not renewing
If the maximum fee was not paid with the initial or renewal filing, a sales report is due no later than 2 months after end of fiscal year.  Fee is 1/10 of 1% of aggregate dollar amount of securities actually sold during previous fiscal year and the following two months, minus $200 up to a maximum of $3,300.
Late Sales Report
$200
Late filing fee
Required notice filing fee plus late fee of one-half of the required notice filing fee.
 
FILING AND FEE REQUIREMENTS FOR UNIT INVESTMENT TRUSTS
To make initial filing, file Form NF, Form U-2, and filing fee.  Filing is effective for one year from date registration with SEC.  To make renewal filing,  no later than the expiration of the current notice filing period file Form NF and filing fee; within following two months file sales report and sales report fee.  Renewal filing is effective for one year.  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.
 
Initial filing
Effective one year from effective date of registration with SEC no matter when filed with Arizona.  May pay a minimum of $200 or a maximum of $3,500.  Trusts that pay the maximum are not required to file a sales report at the expiration of the notice period. 
Renewal filing
Due no later than the expiration of the current filing period.  Filing fee is the same as for initial filing. 
Annual Sales Report if renewing
If the maximum fee was not paid with the initial or renewal filing, a sales report is due no later than 2 months after end of filing period.  Fee is 1/10 of 1% of aggregate dollar amount of securities actually sold during previous period minus $200 up to a maximum of $3,300.
Annual Sales Report if not renewing
If the maximum fee was not paid with the initial or renewal filing, a sales report is due no later than 2 months after end of filing period.  Fee is 1/10 of 1% of aggregate dollar amount of securities actually sold during previous period and the following two months, minus $200 up to a maximum of $3,300.
Late Sales Report
$200
Late filing fee
Required notice filing fee plus late fee of one-half of the required notice filing fee.

 

 
FILING AND FEE REQUIREMENTS FOR CLOSED-END INVESTMENT COMPANIES
To make initial filing, file Form NF, Form U-2, and filing fee.  Filing is effective until the latter of one year from date of filing with Commission or registration with SEC.  To make renewal filing, no later than the expiration of the current notice filing period file Form NF and filing fee; within sixty days file sales report.  Renewal filing is effective for one year.  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.
 
Initial filing
Filing fee is 1/10 of 1% of aggregate offering price of securities to be sold in Arizona, but not less than $200 and not more than $2,000. 
Renewal filing
Due no later than the expiration of the current filing period.  Filing fee is the same as for initial filing. 
Annual Sales Report
A sales report is due no later than 60 days after end of filing period. 
Late Sales Report
$200

 

 

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