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        1300 W. Washington Street

        Phoenix, AZ 85007-2996

         

         

        Main: (602) 542-4242

        Email: SecuritiesDiv@azcc.gov

        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

        (A.R.S. Section 44-3322 through 44-3324)

        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

        (A.R.S. Section 44-3325)

        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.

        Stay Connected


        Check here to sign up for Consumer Alerts from the Corporation Division. To receive alerts for your business register at eCorp.azcc.gov.Please call 602-542-3026 with questions for the Corporations Division.

        Check here to sign up for Notices and Agendas for Commission Meetings, Hearings and Appearances.Please call 602-542-3931 with any questions.

        Check here to receive the latest Commission News Releases and information. Please call 602-542-0728 with any questions.

        Arizona Corporation Commission

        1200 W. Washington Street

        Phoenix, AZ 85007

         

        Corporations Division

        1300 W. Washington Street

        Phoenix, AZ 85007

         

        Tucson Office (Walk-ins only)

        400 W. Congress Street

        Tucson, AZ 85701

         

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