DOB: Investment Company Filing Status

Mutual Fund (Open-End Management Company) Filings

Section 36b-21(c)(1) of the Connecticut Uniform Securities Act requires a notice filing by any person offering or selling a security issued by an investment company registered under the Investment Company Act of 1940.  A notice must be filed for each series or portfolio prior to the initial offering in this state.  Investment company securities are subject to exclusive federal registration under Section 18(b)(2) of the Securities Act of 1933.

Under the Investment Company Act of 1940, there are three types of investment companies:  1) face-amount certificate companies; 2) unit investment trusts; and 3) management companies.  Open-end management companies are commonly known as mutual funds.  Mutual funds must renew their state notice filing each calendar year.

As a service to the mutual fund industry, the department is posting to this page a listing of mutual fund filers with an active notice filing under the Connecticut Uniform Securities Act.

Consumers seeking information on a particular fund can visit the Securities and Exchange Commission's website to read prospectuses, statements of additional information and other key documents and to obtain contact information for a particular fund.

If you have questions, contact the Securities Division via telephone at (860) 240-8230 or toll-free 1-800-831-7225.



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Open-End Management Companies With An Active Notice Filing

The following list includes the Connecticut File Number, primary fund name and series/portfolio name of each mutual fund filer.  Please click on the link below to download the file.

Downloadable Mutual Fund Notice Filing List
(Excel 2003 Format)

**Windows users tip: once file is downloaded simultaneously select
the "control" and "F" keys to find a particular name.