Notice Filings

Investment Companies

The National Securities Markets Improvement Act (NSMIA) preempted state securities regulation over investment companies. Pursuant to NSMIA, W.S. 17-4-132(a) was enacted under which investment companies now make notice filings according to the provisions of Wyoming Securities Rule, Chapter 9, Section 1.

Open end investment companies make notice filings with the Secretary of State on Form NF. Filings occur for the fund or trust level, not at the portfolio level. A fee of $200 must accompany the initial notice filing and renewal every other year thereafter on the fund's fiscal year end (within 60 days grace period).

Initial notice filings are effective upon receipt, or if requested by the issuer, concurrent with SEC effectiveness. Thereafter, notice filings are made on the fund's fiscal year end. Notice filings may be amended using Form NF.

No registration forms, amendments, sales literature, consent to service of process, prospectus, or annual report is required or desired.Filers will receive by return mail a receipt for fees and the Form NF stamped with the filing/renewal date.

The above form can be found here.