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Federal Covered Securities

Open-End Mutual Funds

Note: Each portfolio, series, and class being offered must be the subject of a separate Notice filing.

Fee: $1,500.

Statutes:  § 551.302(1), Wis. Stats.,  and § 551.614(1)(b)2., 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).
    Note: Offering documents are not required.

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

Offering Period: Indefinite, as long as the annual sales report and required fee are filed.

Annual Sales Report: To continue from year to year (indefinite period), the fund must file, within 90 days of the fund's fiscal-year end:

  1. a sales report (the filer may use Adobe PDF Document  Form NF  (PDF: 18 KB / 3 pages) or Wisconsin's own Form RS-IC); and
  2. fee (1/20th of 1% of the sales made in Wisconsin through the end of the fund's fiscal year, minimum of $750 and maximum of $15,000).

Amendments: Name change amendments are the only required amendments and must be filed by submitting Adobe PDF Document  Form NF  (PDF: 18 KB / 3 pages), together with a $200 fee. New offering documents do not need to be filed.

Termination: Must be effected by submitting, within 90 days of the termination date:

  1. a final sales report, on Adobe PDF Document  Form NF  (PDF: 18 KB / 3 pages) or Wisconsin's own Form RS-IC; and
  2. fee (1/20th of 1% of the sales made in Wisconsin through the termination date, minimum of $750 and maximum of $15,000).