Mutual Fund Filing and Report Requirements 
  
  
OPEN-END INVESTMENT COMPANIES
 
(A.R.S. Section 44-3322 through 44-3324)

Initial Filing: Form NF, Form U-2, filing fee.
 
Renewal Filing: Form NF, filing fee, sales report, sales report fee. Renewal filings are effective for one year.
 
Final Sales Report: may be required, see A.R.S §§ 44-3323(D) and 44-3324(C).
 
Late Sales Report Fee: $200 in addition to late filing fees, see A.R.S. § 44-3324(G).
 
Late Filing Fee: required for all late filings, assessed in addition to any other fees and late fees, see A.R.S. § 44-3324(G).
  
 
UNIT INVESTMENT TRUSTS
 
 
Initial Filing: Form NF, Form U-2, filing fee.
 
Renewal Filing: Form NF, filing fee. Renewal filings are effective for one year.
 
Annual Sales Report: may be required, see A.R.S. §§ 44-3323(E) and 44-3324(E)(2).
 
Final Sales Report: may be required, see A.R.S. §§ 44-3323(F) and 44-3324(F).
 
Late Sales Report Fee: $200 in addition to late filing fees, see A.R.S. § 44-3324(G)
 
Late Filing Fee: required for all late filings, assessed in addition to any other fees and late fees, see A.R.S. § 44-3324(G)
 
 
CLOSED-END INVESTMENT COMPANIES
 
 
Initial Filing: Form NF, Form U-2, filing fee.
 
Renewal Filing: Form NF, filing fee. Renewal filings are effective for one year.
 
Annual Sales Report: required, see see A.R.S. § 44-3325(D).
 
Final Sales Report: required, see A.R.S. § 44-3325(D).
 
Late Sales Report Fee: $200.
 
Oversales: in the event of oversales, contact the Securities Division at (602) 542-0326 or SEC-AOD@azcc.gov.
 
 
 NOTE: Make checks payable to the Arizona Corporation Commission.  File with the Arizona Corporation Commission’s Securities Division, 1300 West Washington, 3rd Floor, Phoenix, Arizona 85007.