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Investment Companies

 

 

Mutual Funds and Unit Investment Trusts are exempt from registration in Colorado and must file a notice to claim the exemption. This includes open-end and closed-end Mutual Funds and each Unit Investment Trust.

Mutual Funds

Colorado allows filings to be made at the "Trust" level. Classes and portfolios of the "parent" fund or trust can be included on one application with one filing fee. 

File the Form NF.

The filing fee can be found on the Fee Schedule page on this site and checks are made out to the Colorado State Treasurer.

The initial filing will be effective from our receipt date up until two (2) months after the fund's next fiscal year end. The Division will not charge for periods less than 4 months.

The funds file for annual renewal on the Form NF with the current fee no later than 2 months after the next fiscal year end.

 

Unit Investment Trusts

Unit Investment Trusts, unlike mutual funds, file in Colorado with one (1) Form NF and one (1) fee for each individual Unit Investment trust.

File the Form NF.

The filing fee can be found on the Fee Schedule page on this site and checks are made out to the Colorado State Treasurer.

The initial filing will be effective from our receipt date for a period of 12 months.

Should the Trust need to renew after the initial 12 month period, the annual renewal would be made on the Form NF  and would be for a second 12 month period, with the current fee.

 

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Contact

1560 Broadway, Suite 900, Denver, CO 80202 Email
(303) 894-2320 - Phone (303) 861-2126 - Fax