Mutual Fund Notice Filing Checklist

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    1.  Form NF 
    2.  Consent to Service of Process (Form U-2) 
    3.  One copy of printed prospectus or registration statement (final printed prospectus to be submitted when available) and SAI. 
    4.  Filing fee of $1000 per security, down to the Class Level. (e.g. Filing consisting of one Master fund = $1000; with two portfolios = $2000; with two portfolios with two classes = $4000).  A singe check payable to the State of New Hampshire may be submitted. 
    5.  Name of licensed broker-dealer engaged in the distribution of the securities, or if a broker-dealer is not being used, the person(s) responsible for distributing the securities on the issuer's behalf.  The issuer must determine whether that individual needs to be licensed or authorized to offer or sell the securities, or is exempt therefrom.  See RSA 421-B:2, II and RSA 421-B:6, I (see Agents). 
    6.  Effective upon receipt of filing. 
    7.  Please note:  the annual renewal date of all mutual funds is May 1st of each year.  Initial fees are not pro-rated or credited to any period beyond May 1st (example: initial notice fee is filed on April 30th; notice is effective upon receipt on April 30th and a renewal fee is due on May 1st for the ensuing year).