Unit Investment Trusts

​​​​​Fee: $1,500

Filing Requirements:

The Wisconsin Division of Securities is now accepting online filings for unit investment trusts (UITs) through the North American Securities Administrators Association’s (NASAA) Electronic Filing Depository​ (EFD) system. Developed by NASAA, the EFD system was launched in 2014 and was initially used to facilitate the filing of Form D for Regulation D, Rule 506 offerings with state securities regulators and to pay related fees. Wisconsin is among a growing number of states participating in the online filing of Form NF-UIT and the nearly all states participating in the online EFD system for Form D. The EFD website also enables the public to search and view, free of charge, filings made through EFD with state securities regulators.

​​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

Email: DFISecurities@dfi.wisconsin.gov