17 C.F.R. Subpart B—Forms for Reports
Title 17 - Commodity and Securities Exchanges
This form shall be used by registered management investment companies for semi-annual or annual reports to be filed pursuant to rule 30b1–1 (17 CFR 270.30b1–1) and by registered unit investment trusts for annual reports to be filed pursuant to rule 30a–1 (17 CFR 270.30a–1). [68 FR 5366, Feb. 3, 2003] Editorial Note: For
Title 17: Commodity and Securities Exchanges
PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940
Subpart B—Forms for Reports
§ 274.101 Form N-SAR, semi-annual report of registered investment companies.
§§ 274.102-274.126 [Reserved]
§ 274.127d-1 Form N–27D–1 accounting of segregated trust account.
This form shall be completed and filed with the Commission as a report required by §270.27d–1 of this chapter by each depositor or principal underwriter, within 15 days after the close of each quarter during the first 2 years after the effective date of §270.27d–1 of this chapter, and thereafter this form shall be filed annually on or before January 31 of the following calendar year. Each investment company for which a segregated trust account is established shall be listed on the cover page. Two copies of the form, plus an additional copy for each registered investment company covered, shall be filed and the filing shall be signed by an authorized representative of the depositor or underwriter.
[36 FR 24056, Dec. 18, 1971]
§ 274.127e-1 Form N–27E–1, notice to periodic payment plan certificate holders of 18-month surrender rights with respect to periodic payment plan certificates.
This form is to be reproduced by the issuer or any depositor of or underwriter for such issuer and will not be available at the Securities and Exchange Commission. For required text of the form see paragraph (f) of §270.27e–1 of this chapter.
[36 FR 13139, July 15, 1971]
Editorial Note: For
§ 274.127f-1 Form N–27F–1, notice to periodic payment plan certificate holders of 45-day withdrawal right with respect to periodic payment plan certificates.
This form is to be reproduced by the issuer or any depositor of or underwriter for such issuer and will not be available at the Securities and Exchange Commission. For required text of the form see paragraph (d) of §270.27f–1 of this chapter.
[45 FR 17958, Mar. 20, 1980]
Editorial Note: For
§ 274.128 Form N-CSR, certified shareholder report.
This form shall be used by registered management investment companies to file reports pursuant to §270.30b2–1(a) of this chapter not later than 10 days after the transmission to stockholders of any report that is required to be transmitted to stockholders under §270.30e–1 of this chapter.
[68 FR 5368, Feb. 3, 2003]
§ 274.129 Form N-PX, annual report of proxy voting record of registered management investment company.
This form shall be used by registered management investment companies, other than small business investment companies registered on Form N–5 (§§239.24 and 274.5 of this chapter), for annual reports to be filed not later than August 31 of each year, containing the company's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and §270.30b1–4 of this chapter.
[68 FR 6584, Feb. 7, 2003]
§ 274.130 Form N-Q, quarterly schedule of portfolio holdings of registered management investment company.
This form shall be used by registered management investment companies, other than small business investment companies registered on Form N–5 (§§239.24 and 274.5 of this chapter), to file reports pursuant to §270.30b1–5 of this chapter not later than 60 days after the close of the first and third quarters of each fiscal year.
[69 FR 11271, Mar. 9, 2004]
§ 274.200 Form N–17D–1, report filed by small business investment company (SBIC) registered under the Investment Company Act of 1940 and an affiliated bank, with respect to investments by the SBIC and the bank, submitted pursuant to paragraph (d)(3) of §270.17d–1 of this chapter.
This form shall be filed pursuant to Rule 17d–2 (§270.17d–2 of this chapter) as the report required, under subparagraph (d)(3) of Rule 17d–1 (§270.17d–1(d)(3) of this chapter), to be filed, either jointly or separately, by a small business investment company (SBIC) licensed as such under the Small Business Investment Act of 1958, and by a bank which is an affiliated person of either the SBIC or of an affiliated person of the SBIC, with respect to investments in a small business concern by the SBIC and the bank.
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