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

Current as of January 01, 2025 | Updated by Findlaw Staff

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 § 44-3324.

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

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

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Cite this article: FindLaw.com - Arizona Revised Statutes Title 44. Trade and Commerce § 44-3321. Notice filings by open-end companies and unit investment trusts - last updated January 01, 2025 | https://codes.findlaw.com/az/title-44-trade-and-commerce/az-rev-st-sect-44-3321/

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