Submission of UIT Notice Filings


Effective March 2, 2020, the Commissioner of Securities will begin accepting electronic filings of unit investment trusts (UIT) notice filings through the Electronic Filing Depository (EFD) System. The Uniform Investment Company Notice Filing (Form NF-UIT), Form U2 Consent to Service (Form U2), and Uniform Corporate Resolution (Form U-2a), along with payment of a $250 examination fee and a registration fee of 1/10 of 1 percent of the offering amount (with a minimum $100 and maximum $1,000) may be submitted through the EFD system. In the alternative, submission of a paper copies of these registration documents filed electronically with the Securities and Exchange Commission and payment of the examination/registration fees may still be mailed to the Commissioner of Securities.