§ 44-3321 Notice filings by open-end companies and unit investment trusts
§ 44-3322 Amount and term of securities subject to notice filing
§ 44-3323 Sales reports
§ 44-3324 Notice filing fees
§ 44-3325 Notice filings by closed-end companies

Terms Used In Arizona Laws > Title 44 > Chapter 13 > Article 12

  • Closed-end company: means any management company other than an open-end company or unit investment trust. See Arizona Laws 44-3101
  • Commission: means the Arizona corporation commission. See Arizona Laws 44-1801
  • Fiscal year: The fiscal year is the accounting period for the government. For the federal government, this begins on October 1 and ends on September 30. The fiscal year is designated by the calendar year in which it ends; for example, fiscal year 2006 begins on October 1, 2005 and ends on September 30, 2006.
  • Issuer: means any person who issues or proposes to issue any security, except:

    (a) With respect to certificates of deposit, voting-trust certificates, collateral-trust certificates, certificates of interest or shares in an unincorporated investment trust, whether or not of the fixed, restricted management or unit type, issuer means the person or persons performing the acts and assuming the duties of depositor or manager pursuant to the provisions of the trust or other agreement or instrument under which such securities are issued. See Arizona Laws 44-1801

  • Late-payment fee: The fee that will be imposed when your payment is late. Source: Federal Reserve
  • Month: means a calendar month unless otherwise expressed. See Arizona Laws 1-215
  • offer for sale: means an attempt or offer to dispose of, or solicitation of an order or offer to buy, a security or interest in a security for value or any sale or offer for sale of a warrant or right to subscribe to another security of the same issuer or of another issuer. See Arizona Laws 44-1801
  • Open-end company: means a management company that is offering for sale or has outstanding any redeemable security of which it is the issuer. See Arizona Laws 44-3101
  • Process: means a citation, writ or summons issued in the course of judicial proceedings. See Arizona Laws 1-215
  • SEC: means the United States securities and exchange commission. See Arizona Laws 44-1801
  • sell: means a sale or any other disposition of a security or interest in a security for value and includes a contract to make such sale or disposition. See Arizona Laws 44-1801
  • Service of process: The service of writs or summonses to the appropriate party.
  • Unit investment trust: means an investment company that is organized under a trust indenture, contract of custodianship or agency or similar instrument, that does not have a board of directors and that issues only redeemable securities, each of which represents an undivided interest in a unit of specified securities, but does not include a voting trust. See Arizona Laws 44-3101