Federal Covered Securities
Open-End Mutual Funds
Note: Each portfolio, series, and class being offered must be the subject of a separate Notice filing.
Administrative Code: § DFI-Sec 2.04(1), Wis. Adm. Code
- Form NF (PDF: 18 KB / 3 pages) or Form U-1 (PDF: 10 KB / 3 pages).
(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:
- a sales report (the filer may use Form NF (PDF: 18 KB / 3 pages) or Wisconsin's own Form RS-IC); and
- 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 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:
- a final sales report, on Form NF (PDF: 18 KB / 3 pages) or Wisconsin's own Form RS-IC; and
- fee (1/20th of 1% of the sales made in Wisconsin through the termination date, minimum of $750 and maximum of $15,000).