Ny Form Nf - Uniform Investment Company Notice Filing - 2006
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3NEW YORK STATE DEPARTMENT OF LAW
NY FORM NF
INVESTMENT PROTECTION BUREAU
Instructions
120 Broadway, 23rd Floor
New York, NY 10271-0332
1-800-771-7755 TDD (for hearing impaired) 1-800-788-9898
INVESTMENT PROTECTION BUREAU
INSTRUCTIONS FOR FORM NF
For open-end management-type companies registered with S.E.C. under Investment Company Act of 1940 pursuant to Art. 23-A
of the General Business Law and pursuant to the National Securities Markets Improvement Act of 1996 ("NSMIA").
Form NF should be used for initial filings, renewals and amendments. This form should be used for all filing options, including
definite and indefinite filings.
The instructions for filing a Form NF in New York are the same as for those in other jurisdictions adopting the form with two
notable exceptions:
(1) Form NF must be filed prior to sale or offer for sale; and
(2) A separate Form NF must be filed for each individual fund or portfolio.
ITEM 1. Name of Issuer. State the name of the investment company for whom the notice filing is being made.
ITEM 3. Amendments include changes in the correspondent or fund name or a new fiscal year end. Changes like
reorganizations should be reported under "Other", with a written explanation. If in doubt about the proper category, use "Other"
and provide an explanation.
ITEM 4. Description of Securities. This information should be provided at the level necessary in the given state. For example,
if the state is a trust level state, portfolio and class information may not be required. A separate form should be filed for each
portfolio or class, to the extent required by the given state. Attach a list of all portfolios or classes for trust level states. For
states whose fees are based on the prospectus, a separate form should be filed for each prospectus and should include a list of all
securities listed in the prospectus.
ITEM 5. CIK number (EDGAR): Please provide the Central Index Key Number that will cross-reference the SEC filing.
ITEM 6. Federal ID #. Federal identification numbers are only available for the fund or trust. Provide this information if filing
in a jurisdiction that requires this number. Fiscal year information is not required for unit investment trusts, since the filing
period runs concurrently with SEC effectiveness.
ITEM 7. If the issuer elects to begin the notice filing period on the date of SEC effectiveness, the notice period will end on the
date that a renewal filing is required.
AMENDMENT FILINGS. Provide the applicable information.
CONSENT TO SERVICE OF PROCESS. The Consent To Service of Process Form is separate from the Notice Filing Form.
Issuers shall use the Uniform Consent to Service of Process Form (Form U-2).
This Notice Filing is deemed made when it is received at the
Filing Fee .......................$1,200.00 -- Valid for four years
address listed. In the event that the information given in the
Amendment Fee .............$
30.00
Notice Filing is incomplete, or conflicts or is otherwise
inconsistent with other information in the possession of the
Make check payable to the NYS Department of Law
Department of Law, the issuer will be notified.
Send remittance to: Investment Protection Bureau
Payment by Attorney’s check, company check, certified
N.Y.S. Department of Law
check, bank check or money order. Personal checks not
120 Broadway, 23rd Floor
accepted.
New York, NY 10271
IPS Form NF Instructions (11/06)
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