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Corporate Finance For more information
Investment Companies call the Division at (801) 530-6600
FORMS AND APPLICATIONS
  • Form NF Acrobat PDF Format Word Format WordPerfect Format
    Uniform Investment Company Notice Filing
  • Form U2 Acrobat PDF Format Word Format WordPerfect Format
    Uniform Consent to Service of Process
OTHER RESOURCES

The Securities and Exchange Commission’s Division of Investment Management regulates investment companies.

As provided by Section 18(b)(2) of the 1933 Act:

"A security is a covered security if such security is a security issued by an investment company that is registered, or that has filed a registration statement, under the Investment Company Act of 1940."

For requirements, filing information, and other pertinent information, see below.

Table of Contents   (click topics to expand)

Notice Filing Requirement
Investment companies that qualify under section 18(b)(2) are required to make a notice filing in Utah pursuant to rule R164-15-1 of the Utah Administrative Code.
Filing
To make a notice filing for an investment company, the issuer must submit to the Division the following:
  1. A completed manually signed Form NF;
  2. A completed manually signed NASAA Form U-2 - Uniform Consent to Service of Process; and
  3. $600 filing fee.
Substitute for Form NF
The issuer may submit a copy of all documents that are part of the federal registration statement filed with the SEC as a substitute for NASAA Form NF.
Request for Documents
Upon written request of the Division and within the time period set forth in the request, the issuer must submit to the Division a copy of any document, identified in the request, that is part of the federal registration statement filed with the SEC or is part of an amendment to such federal registration statement.
Prospectus Level Filing
All securities included in the same prospectus may be covered under a single notice filing.
Prior Form U-2 Filing
An issuer who has filed a Form U-2 in connection with a previous notice filing need not file another.
Term of Notice Filing
Notice filings are effective for one year from the date filed with the Division, except for unit investment trusts which are effective for an indefinite period of time from the date filed with the Division.

To facilitate the coordination of expiration dates with other states, the issuer may request a specific term of effectiveness which does not exceed one year.
Renewal
A notice filing, for which the term is about to expire, may be renewed by submitting to the Division another notice and $600 fee.
Amendments
A notice filing may be amended by forwarding the corrected information to the Division and requesting that the file be amended accordingly.  No fee is required for an amendment.
Recognized Designee
The Division authorizes and recognizes the Securities Registration Depository, Inc. as a designee to receive notice filings under this rule on behalf of the Division, including but not limited to notices, fees, and all documents that are part of a federal registration statement filed with the SEC under the Securities Act of 1933.
Sales Report
Within 30 days of the close of the offering or when the issuer ceases to rely upon the notice, whichever occurs first, unit investment trusts shall file a sales report on NASAA Form NF.  No sales report is required for open-end management investment companies.