General Information
Regarding Mutual Funds

§         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 confirmations 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

§         Electronic filing is not available at this time.

§         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.