Tips For Mutual Fund Filers

In order to make the mutual fund filing process more efficient, and to save paper, the Division offers the following tips on making investment company filings.

The basic elements of a notice filing for an open-end investment company are: a Form NF, Form U-2 (along with Form U-2A, if applicable), and a filing fee. [Click here for Uniform Forms] It is not necessary to include fund prospectuses, registration statements, or promotional materials with the notice filing.

Filers should consult the Massachusetts regulations under 950 CMR 13.306 for specific directions on how to make investment company notice and renewal filings.

Duplicate Cover Letter. We suggest that filers who include a duplicate cover letter or postcard with their filings to be time-stamped as a record of delivery place the letter or postcard on top of the manually-signed cover letter.

Check for Filing Fee. Placing the filing fee check on top of the filing will facilitate check processing.

Filings for Multiple Funds. Filers who send filings for several funds at a time and who request a confirmation of delivery should also include a sufficiently large return envelope with the correct postage.