General Information Regarding Mutual Funds

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    •  All notices are deemed filed the day they are received.  Neither "permits" nor file numbers are issued.  If a copy of a filing letter is provided, the notice filing date will be stamped thereon and returned to the issuer.
       
    • All notices are due for renewal on or before May 1 of each year, regardless of when filed.  No exceptions are available by statute for notices filed close to the May 1 date.  Renewal reminders will be mailed to the issuers and upon receipt of the renewal requests, confirmation of renewal will be sent.
       
    • Amounts filed are "indefinite".
       
    • Unit Investment Trusts (UIT) and Closed-End Funds are not treated as mutual fund filings for the purposes of these filing requirements.  See Closed-End Fund Notice Filing.
       
    • ALL funds and classes being offered in a combined prospectus MUST have notices on file.  "Stickering" the prospectus does not exempt the issuer from this requirement.
       
    • All funds must be offered by a New Hampshire registered broker-dealer.  In the absence thereof, an Issuer-Agent may be appointed.  See Agents and RSA 421-B:2, II.
       
    • Sales reports, annual reports and semi-annual reports need not be filed.  The Bureau retains the option to request these items on an as-needed basis.