Arizona § 44-3321 Notice filings by open-end companies and unit investment trusts

Arizona Statutes

§ 44-3321 — Notice filings by open-end companies and unit investment trusts

Arizona·Title 44 Arizona Revised Statutes·Ch. 13 INVESTMENT MANAGEMENT·Art. 12 Notice Filings of Certain Investment Companies

A.Securities that are issued by an open-end company or unit investment trust may be offered for sale and sold in this state if the commission receives all of the following:

1.The documents that are filed with the SEC and that are required by the commission.

2.A consent to service of process.

3.The sales reports that are required by this article.

4.A notice filing fee computed pursuant to section 44-3324.

B.A notice filing is effective and renewable as provided in section 44-3322.

C.Securities that are exempt pursuant to section 44-1843 or that are sold in a transaction that is exempt pursuant to section 44-1844 are exempt from the requirements of this section.

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A. Securities that are issued by an open-end company or unit investment trust may be offered for sale and sold in this state if the commission receives all of the following:

1. The documents that are filed with the SEC and that are required by the commission.

2. A consent to service of process.

3. The sales reports that are required by this article.

4. A notice filing fee computed pursuant to section 44-3324.

B. A notice filing is effective and renewable as provided in section 44-3322.

C. Securities that are exempt pursuant to section 44-1843 or that are sold in a transaction that is exempt pursuant to section 44-1844 are exempt from the requirements of this section.

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