Investment Company Notice Search

This section allows for the viewing and printing of acknowledgment letters for Investment Company notice filings with the Department.
Investment Company Notices by Correspondent or Issuer:
Name   Begins With
Initial Filing
Renewal Filing


All Investment Company Notices by month:

Historical Search

This section will show all currently effective Notices by the chosen search method. From there, filers can research previous submissions for a particular Issuer, Fund or class of funds to ascertain historical information.
Correspondent Firm Name Begins With
Fund/Issuer Name
  Level 1  
Level 2
Search by File # SE-  

Have a question about a notice filing? contact at (405) 280-7748