What are the Securities Division’s annual filing requirements for an Investment Company?

Published 08/12/2009 12:51 PM   |    Updated 08/12/2009 12:51 PM
What are the Securities Division's annual filing requirements for an Investment Company?

* Form SD84 or Form NF (Sales Report)

* renewal fee is $250.00 plus 1/20th of 1% of the excess of the dollar amount of securities sold during the fiscal year over the amount redeemed, total fee not to exceed $2,500.00 in any one year

* termination reported on Form NF with final Sales Report and only the sales fee due

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