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Federal Covered Securities

Closed-End Mutual Funds

Fee: $1,500

Statute:  § 551.302(1), Wis. Stats.

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

Filing Requirements:

  • Adobe PDF Document  Form NF  (PDF: 18 KB / 3 pages) or Adobe PDF Document  Form U-1  (PDF: 10 KB / 3 pages).
  • Adobe PDF Document  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 551.302 (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, $1,500 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 $1,500 filing fee must be filed in Wisconsin.