44-3321. Notice filings by open-end companies and unit investment trusts
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/az/title-44/44-3321A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
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.