Federal Covered Securities
Closed-End Mutual Funds
Statute: § 551.302(1), Wis. Stats.
Administrative Code: § DFI-Sec 2.04(1), Wis. Adm. Code
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.