Note: Each portfolio, series, and class being offered must be the subject of a separate Notice filing.
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: Indefinite, as long as the annual sales report and required fee are filed
Annual Sales Report: To continue from year to year (indefinite period), the fund must file, within 90 days of the fund's fiscal-year end:
- a sales report (the filer may use Form NF); and
- fee (1/20th of 1% of the sales made in Wisconsin through the end of the fund's fiscal year, minimum of $750 and maximum of $15,000).
Amendments: Name change amendments must be filed with a $200 fee.
Termination: Must be effected by submitting, within 90 days of the termination date:
- a final sales report, on Form NF; and
- fee (1/20th of 1% of the sales made in Wisconsin through the termination date, minimum of $750 and maximum of $15,000).
Contact Us
Phone: (608) 266-2139
Email: DFISecurities@dfi.wisconsin.gov