Notice Filings

For an open-end mutual fund, please submit the following to the Bureau of Securities or online where applicable:

• Form NF
• Consent to Service of Process (Form U-2)
• One copy of printed prospectus or registration statement (final printed prospectus to be submitted when available) and SAI.
• 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.
• 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:1-102 and RSA 421-B:4-402 (see Agents)

The notice filing is effective once the Bureau receives the filing. 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).

For a closed-end fund, please submit the following to the Bureau of Securities or online where applicable:

• Form U-2
• Form NF
• Filing fee of $500
• Copy of the registration statement or prospectus

Name of the 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:4-402 (See Licensing Agents)

For a Regulation D. Rule 506 filing, please submit the following to the Bureau no later than 15 days after the first sale in New Hampshire:

• Filing fee of $500, check (certified or otherwise) made payable to the "State of New Hampshire".
   
• Form D, either in hard copy (pages 1-8) or through the Electronic Filing Depository (EFD). Include the date of the first sale in New Hampshire in your cover letter.

As long as all the forms and fees are submitted correctly, the filing is effective the date it is received by the Bureau 

More questions?

Visit our frequently asked questions page for more information.

For a secondary trading fund, please submit the following to the Bureau of Securities or online where applicable:

• Filing fee of $500. Check should be payable to the "State of New Hampshire".
• Form U-2
• Copy of the most recent 10-K and 10-Q reports filed with the Securities and Exchange Commission (S.E.C.).
• Name of a New Hampshire licensed broker-dealer engaged in the distribution of the securities.

For a Regulation A+, Tier 2 Offering, please submit the following to the Bureau of Securities:

• Filing fee based on 2/10 of 1% (New Hampshire Aggregate Offering Price) with a maximum of $1,050, plus a non-refundable fee of $200. [See RSA 421-B:6-614(a)(8) (effective 1/1/16)]. Checks should be payable to the "State of New Hampshire".
• The name, address, and telephone number of the issuer, and the type of securities to be sold.
• Signed Uniform Notice Filing of Regulation A – Tier 2 Offering (scroll down to download form)
• Any document filed with the Securities and Exchange Commission (may reference electronic version).