Closed-End Mutual Funds

​​​​​Fee: $1,500

Filing Requirements:

Effective Date: Date of filing in Wisconsin or U.S. Securities and Exchange Commission (SEC) effective date, whichever is later

Offering Period: One year

Extension: May be obtained by filing a notice of extension under Wis. Stat. s. 551.302 (1)(c) and Wis. Admin. Code s. DFI-Sec 2.04 (1)(c), containing the information and fee set forth in the rule.

Rule 429 Amendments: The flat, fixed, non-refundable, $1,500 filing fee permits the offering of all securities in Wisconsin that are registered on a registration statement filed with the SEC; if the issuer files a Rule 429 amendment (a new registration statement) with the SEC to increase the amount of securities registered, a new notice and $1,500 filing fee must be filed with the Wisconsin Division of Securities. 

Conta​​ct Us

Phone: (608) 266-2139