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Uniform Investment Company Notice Filing NF - New York
| Uniform Investment Company Notice Filing Form. This is a New York form and can be used in Investor Protection And Securities Blue Sky Secretary Of State . |
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NEW YORK STATE DEPARTMENT OF LAW INVESTMENT PROTECTION BUREAU 120 Broadway, 23rd Floor New York, NY 10271-0332 1-800-771-7755 TDD (for hearing impaired) 1-800-788-9898 www.oag.state.ny.us NY FORM NF Instructions INVESTMENT PROTECTION BUREAU INSTRUCTIONS FOR FORM NF For open-end management-type companies registered with S.E.C. under Investment Company Act of 1940 pursuant to Art. 23-A of the General Business Law and pursuant to the National Securities Markets Improvement Act of 1996 ("NSMIA"). Form NF should be used for initial filings, renewals and amendments. This form should be used for all filing options, including definite and indefinite filings. The instructions for filing a Form NF in New York are the same as for those in other jurisdictions adopting the form with two notable exceptions: (1) Form NF must be filed prior to sale or offer for sale; and (2) A separate Form NF must be filed for each individual fund or portfolio. ITEM 1. Name of Issuer. State the name of the investment company for whom the notice filing is being made. ITEM 3. Amendments include changes in the correspondent or fund name or a new fiscal year end. Changes like reorganizations should be reported under "Other", with a written explanation. If in doubt about the proper category, use "Other" and provide an explanation. ITEM 4. Description of Securities. This information should be provided at the level necessary in the given state. For example, if the state is a trust level state, portfolio and class information may not be required. A separate form should be filed for each portfolio or class, to the extent required by the given state. Attach a list of all portfolios or classes for trust level states. For states whose fees are based on the prospectus, a separate form should be filed for each prospectus and should include a list of all securities listed in the prospectus. ITEM 5. CIK number (EDGAR): Please provide the Central Index Key Number that will cross-reference the SEC filing. ITEM 6. Federal ID #. Federal identification numbers are only available for the fund or trust. Provide this information if filing in a jurisdiction that requires this number. Fiscal year information is not required for unit investment trusts, since the filing period runs concurrently with SEC effectiveness. ITEM 7. If the issuer elects to begin the notice filing period on the date of SEC effectiveness, the notice period will end on the date that a renewal filing is required. AMENDMENT FILINGS. Provide the applicable information. CONSENT TO SERVICE OF PROCESS. The Consent To Service of Process Form is separate from the Notice Filing Form. Issuers shall use the Uniform Consent to Service of Process Form (Form U-2). This Notice Filing is deemed made when it is received at the address listed. In the event that the information given in the Notice Filing is incomplete, or conflicts or is otherwise inconsistent with other information in the possession of the Department of Law, the issuer will be notified. Payment by Attorney's check, company check, certified check, bank check or money order. Personal checks not accepted. Filing Fee .......................$1,200.00 -- Valid for four years Amendment Fee .............$ 30.00 Make check payable to the NYS Department of Law Send remittance to: Investment Protection Bureau N.Y.S. Department of Law 120 Broadway, 23rd Floor New York, NY 10271 IPS Form NF Instructions (11/06) American LegalNet, Inc. www.FormsWorkflow.com NEW YORK STATE DEPARTMENT OF LAW INVESTMENT PROTECTION BUREAU 120 Broadway, 23rd Floor New York, NY 10271-0332 1-800-771-7755 TDD (for hearing impaired) 1-800-788-9898 www.oag.state.ny.us NY FORM NF UNIFORM INVESTMENT COMPANY NOTICE FILING State File No. ____________________ Notice to the State/Commonwealth of _______________________________________________________________________ 1. Name of Issuer _____________________________________________________________________________________ __________________________________________________________________________________________________ 2. 3. Address __________________________________________________________________________________________ __________________________________________________________________________________________________ Type of Filing: (check all that apply) [ ] Open-end Mutual Fund [ ] Initial Filing [ ] Termination [ ] Increase Dollar Amount [ [ ] Unit Investment Trust [ ] Renewal Filing [ ] Withdrawal [ ] Closed-end Mutual Fund [ ] Exemption Filing [ ] Sales Report ] Amendments* __________________________________________________________________________________ For name changes, provide former name:___________________________________________________________________ ___________________________________________________________________________________________________ For amendments, specify nature of the change(s): ____________________________________________________________ ___________________________________________________________________________________________________ *The fee for amendments is $30.00. Please remit. 4. Description and Name of Securities Description _______________________________________________________________________________________ Name of Fund _____________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ Portfolio(s) ________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ Class(es) __________________________________________________________________________________________ _________________________________________________________________________________________________ _________________________________________________________________________________________________ Are all of the securities described on this form offered in one prospectus? [ 5. Contact Person: Name __________________________________________ Firm _____________________________________________ Address __________________________________________________________________________________________ _________________________________________________________________________________________________ E
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