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Whitepaper

Transactional Exemption Module

Mar 20, 2017

While mutual funds may be exempted from state registration, they are still subject to state notice filings and payment of fees.

Many of the state fees are calculated as a percentage of aggregate sales in the state. This whitepaper will outline how you can decrease expenses for paying state notice filings and fees, maximize recognition of transactional exemptions, and restore transparency of omnibus accounts.