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.

Links from the OFI website to other websites are provided solely as a convenience to visitors. If you use these links, you will leave the OFI website.

OFI does not have any responsibility or control over any of these external websites, their content, or their privacy policies. We do not endorse or make any representations about third-party external websites, including any information, products, materials, or results that may be obtained from using them.

If you decide to access any of the linked third-party websites, you do so solely at your own risk. You are encouraged to review the privacy notice for each linked website.