2017 Arizona Revised Statutes
Title 44 - Trade and Commerce
§ 44-3321 Notice filings by open-end companies and unit investment trusts

Universal Citation: AZ Rev Stat § 44-3321 (2017)

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

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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