17 C.F.R. Subpart A—Registration Statements
Title 17 - Commodity and Securities Exchanges
This form shall be used for the registration statement under both sections 6 and 7 of the Securities Act of 1933 (15 U.S.C. 77f, 77g) and section 8(b) of the Investment Company Act of 1940 (15 U.S.C. 80a–8(b)), by a small business investment company which is licensed as such under the Small Business Investment Act of 1958 or which has received preliminary approval of the Small Business Administration and has been notified by that Administration that it may submit a license application. Editorial Note: For This form shall be used as the notification of registration filed with the Commission pursuant to section 8(a) of the Investment Company Act of 1940. Editorial Note: For Form N–1 shall be used as the registration statement to be filed pursuant to Section 8(b) of the Investment Company Act of 1940 by open-end management investment companies that are separate accounts of insurance companies. This form shall also be used for registration under the Securities Act of 1933 of the securities of all such companies. This form is not applicable for small business investment companies which register pursuant to §§239.24 and 274.5 of this chapter. [49 FR 32060, Aug. 10, 1984, as amended at 59 FR 52701, Oct. 19, 1994] Editorial Note: For Form N–1A shall be used as the registration statement to be filed pursuant to section 8(b) of the Investment Company Act of 1940 by open-end management investment companies other than separate accounts of insurance companies or companies which issue periodic payment plan certificates or which are sponsors or depositors of companies issuing such certificates. This form shall be used for registration under the Securities Act of 1933 of the securities of all open-end management investment companies other than registered separate accounts of insurance companies. This form is not applicable for small business investment companies which register pursuant to §293.24 and §274.5 of this chapter. [48 FR 37940, Aug. 22, 1983, as amended at 59 FR 52701, Oct. 19, 1994] Editorial Note: For This form shall be used as the registration statement to be filed pursuant to section 8(b) of the Investment Company Act of 1940 by closed end management investment companies other than companies which isssue periodic payment plan certificates or which are sponsors or depositors of companies issuing such certificates. This form also shall be used for registration under the Securities Act of 1933 of the securities of all closed end management investment companies. This form is not applicable for small business investment companies which register pursuant to §§239.24 and 274.5 of this chapter. [43 FR 39553, Sept. 5, 1978, as amended at 59 FR 52701, Oct. 19, 1994] Editorial Note: For Form N–3 shall be used as the registration statement to be filed pursuant to section 8(b) of the Investment Company Act of 1940 by separate accounts that offer variable annuity contracts to register as management investment companies. This form shall also be used for registration under the Securities Act of 1933 of the securities of such separate accounts (§239.17a of this chapter). [50 FR 26161, June 25, 1985] Editorial Note: For Form N–4 shall be used as the registration statement to be filed pursuant to section 8(b) of the Investment Company Act of 1940 by separate accounts that offer variable annuity contracts to register as unit investment trusts. This form shall also be used for registration under the Securities Act of 1933 of the securities of such separate accounts (§239.17b of this chapter). [50 FR 26161, June 25, 1985] Editorial Note: For Form N–6 shall be used as the registration statement to be filed pursuant to section 8(b) of the Investment Company Act of 1940 by separate accounts that offer variable life insurance policies to register as unit investment trusts. This form shall also be used for registration under the Securities Act of 1933 of the securities of such separate accounts (§239.17c of this chapter). [67 FR 19870, Apr. 23, 2002 This form shall be used as the registration statement to be filed, pursuant to section 8(b) of the Investment Company Act of 1940, by unit investment trusts other than separate accounts that are currently issuing securities, including unit investment trusts that are issuers of periodic payment plan certificates. [67 FR 19870, Apr. 23, 2002] (a) This form shall be used for registration statement to be filed, pursuant to section 8(b) of the Investment Company Act of 1940, by unincorporated management investment companies currently issuing periodic payment plan certificates. Editorial Note: For This form shall be used for registration statements of face-amount certificate companies registered under the Investment Company Act of 1940. Editorial Note: For This form shall be used by a company that would be excluded from the definition of an investment company by section 3(c)(1) of the Investment Company Act of 1940 [15 U.S.C. 80a–3(c)(1)], except that at the time of filing it proposes to make a public offering of its securities as a business development company, to notify the Securities and Exchange Commission that the company intends in good faith to file, within 90 days, a notification of election to become subject to the provisions of sections 55 through 65 of the Investment Company Act of 1940 [15 U.S.C. 80a–54 through 64]. The text of the form is set forth in the appendix to this release.1 1 A copy of Form N–6F accompanied this release as originally filed in the Office of the Federal Register. [47 FR 10520, Mar. 11, 1982] Form 24F–2 shall be used as the annual report filed by face amount certificate companies, open-end management companies, and unit investment trusts pursuant to §270.24f–2 of this chapter for reporting securities sold during the fiscal year. [62 FR 47940, Sept. 12, 1997] Editorial Note: For (a) This form shall be filed with the Commission in triplicate as the notification of election pursuant to §270.18f–1 of this chapter by a registered open-end investment company to commit itself to pay in cash all redemptions requested by a shareholder of record as provided in said section. [36 FR 11920, June 23, 1971 as amended at 36 FR 20504, Oct. 23, 1971; 39 FR 36003, Oct. 7, 1974; 59 FR 52701, Oct. 19, 1994] Editorial Note: For This form shall be used pursuant to section 54(a) of the Investment Company Act of 1940 [15 U.S.C. 80a–53(a)] by a company of the type defined in sections 2(a)(48) (A) and (B) of the Investment Company Act of 1940 (15 U.S.C. 80a–2(a)(48) (A) and (B) to notify the Securities and Exchange Commission of its election to be subject to the provisions of sections 55 through 65 of said Act [15 U.S.C. 80a–54 through 64]. The text of the form is set forth in the appendix to this release.2 2 A copy of Form N–54A accompanied this release as originally filed in the Office of the Federal Register. [47 FR 10520, Mar. 11, 1982] This form shall be used pursuant to section 54(c) of the Investment Company Act of 1940 [15 U.S.C. 80a–53(c)] by a business development company to file a notice of withdrawal of its election under section 54(a) of the Investment Company Act of 1940 [15 U.S.C. 80a–53(a)]. The text of the form is set forth in the appendix to this release.3 3 A copy of Form N–54C accompanied this release as originally filed in the Office of the Federal Register. [47 FR 10520, Mar. 11, 1982]
Title 17: Commodity and Securities Exchanges
PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940
Subpart A—Registration Statements
§ 274.5 Form N–5, for registration statement of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940.
§ 274.10 Form N–8A, for notification of registration.
§ 274.11 Form N–1, registration statement of open-end management investment companies.
§ 274.11A Form N–1A, registration statement of open-end management investment companies.
§ 274.11a-1 Form N–2, registration statement of closed end management investment companies.
§ 274.11b Form N–3, registration statement of separate accounts organized as management investment companies.
§ 274.11c Form N–4, registration statement of separate accounts organized as unit investment trusts.
§ 274.11d Form N–6, registration statement of separate accounts organized as unit investment trusts that offer variable life insurance policies.
§ 274.12 Form N–8B–2, registration statement of unit investment trusts that are currently issuing securities.
§ 274.13 Form N–8B–3, registration statement of unincorporated management investment companies currently issuing periodic payment plan certificates.
§ 274.14 Form N–8B–4, registration statements of face-amount certificate companies.
§ 274.15 Form N–6F, notice of intent to elect to be subject to sections 55 through 65 of the Investment Company Act of 1940.
§ 274.24 Form 24F–2, annual filing of securities sold pursuant to registration of certain investment company securities.
§ 274.51 Form N–18F–1, for notification of election pursuant to §270.18f–1 of this chapter.
§ 274.53 Form N–54A, notification of election to be subject to sections 55 through 65 of the Investment Company Act of 1940 filed pursuant to section 54(a) of the Act.
§ 274.54 Form N–54C, notification of withdrawal of election to be subject to sections 55 through 65 of the Investment Company Act of 1940 filed pursuant to section 54(c) of the Investment Company Act of 1940.
