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Federal Covered Securities

Unit Investment Trusts

Fee: $1,500

Statute:  § 551.302(1), Wis. Stats.

Administrative Code:  § DFI-Sec 2.04(1), Wis. Adm. Code

Filing Requirements:

The Wisconsin Division of Securities is now accepting online filings for unit investment trusts (UITs) through the North American Securities Administrators Association’s (NASAA) Electronic Filing Depository (EFD) System. Developed by NASAA, the EFD System was launched in 2014 and was initially used to facilitate the filing of Form D for Regulation D, Rule 506 offerings with state securities regulators and to pay related fees. Wisconsin is among a growing number of states participating in the online filing of Form NF-UIT and the 48 states participating in the online EFD system for Form D. The EFD website also enables the public to search and view, free of charge, filings made through EFD with state securities regulators. EFD is available at: https://www.efdnasaa.org.

Effective Date: Date of filing in Wisconsin or SEC effective date, whichever is later.

Offering Period: One year.

Extension: May be obtained by filing a notice of extension under 551.302 (1)(c), Wis Stats., and rule DFI-Sec 2.04 (1)(c), containing the information and fee set forth in the rule.

Rule 429 Amendments: Since the flat, fixed, non-refundable, $1,500 filing fee permits the offering of all securities in Wisconsin that are registered on a registration statement filed with the SEC, if the issuer files a Rule 429 amendment (a new registration statement) with the SEC to increase the amount of securities registered, a new notice and $1,500 filing fee must be filed in Wisconsin.