Closed-End Mutual Funds

Fee: $750

Statute:  § 551.29(1), Wis. Stats.

Administrative Code:  § DFI-Sec 2.04(1), Wis. Adm. Code

Filing Requirements:

•   Form NF (PDF: 18 KB / 3 pages) or   Form U-1 (PDF: 10 KB / 3 pages).
•   Form U-2 (PDF: 6 KB / 2 pages).

Effective Date: Date of filing in Wisconsin or SEC effective date, whichever is later.

Offering Period: One year.

Extension: May be obtained by filing a notice of extension under 551.29 (1)(c), Wis Stats., and rule DFI-Sec 2.04 (1)(c), containing the information and fee set forth in the rule.

Rule 429 Amendments: Since the flat, fixed, non-refundable, $750 filing fee permits the offering of all securities in Wisconsin that are registered on a registration statement filed with the SEC, if the issuer files a Rule 429 amendment (a new registration statement) with the SEC to increase the amount of securities registered, a new notice and $750 filing fee must be filed in Wisconsin.

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