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17 C.F.R. Subpart C—Forms for Other Statements

Title 17 - Commodity and Securities Exchanges

Title 17: Commodity and Securities Exchanges
PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940

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Subpart C—Forms for Other Statements

§ 274.202   Form 3, initial statement of beneficial ownership of securities.

This form shall be filed pursuant to §270.30h–1 for initial statements of beneficial ownership of securities required to be filed pursuant to section 30(h) of the Investment Company Act of 1940 (15 U.S.C. 80a–29(h)). (Same as §249.103 of this chapter.)

[67 FR 43537, June 28, 2002]

Editorial Note:  For Federal Register citations affecting Form 3, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

§ 274.203   Form 4, statement of changes in beneficial ownership of securities.

This form shall be filed pursuant to §270.30h–1 for statements of changes in beneficial ownership of securities required to be filed pursuant to section 30(h) of the Investment Company Act of 1940 (15 U.S.C. 80a–29(h)). (Same as §249.104 of this chapter.)

[67 FR 43537, June 28, 2002]

Editorial Note:  For Federal Register citations affecting Form 4, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

§ 274.218   Form N–8F, application for deregistration of certain registered investment companies.

This form must be used as the application for an order of the Commission in cases in which the applicant is a registered investment company that:

(a) Has sold substantially all of its assets to another registered investment company or merged into or consolidated with another registered investment company;

(b) Has distributed substantially all of its assets to its shareholders and has completed, or is in the process of, winding up its affairs;

(c) Qualifies for an exclusion from the definition of “investment company” under section 3(c)(1) (15 U.S.C. 80a–3(c)(1)) or section 3(c)(7) (15 U.S.C. 80a–3(c)(7)) of the Act; or

(d) Has become a business development company.

[64 FR 19471, Apr. 21, 1999]

Editorial Note:  For Federal Register citations affecting Form N–8F, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

§ 274.219   Form N–17f–1, cover page for each certificate of accounting of securities and similar investments of a management investment company in the custody of a member of a national securities exchange, filed pursuant to rule 17f–1.

[54 FR 32049, Aug. 4, 1989]

Editorial Note:  For Federal Register citations affecting Form N–17f–1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

§ 274.220   Form N–17f–2, cover page for each certificate of accounting of securities and similar investments in the custody of a registered management investment company, filed pursuant to rule 17f–2.

[54 FR 32049, Aug. 4, 1989]

Editorial Note:  For Federal Register citations affecting Form N–17f–2, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

§ 274.221   Form N–23c–3, Notification of repurchase offer.

Form N–23c–3 shall be filed with copies of notifications of repurchase offers submitted to the Commission as required under rule 23c–3 (§270.23c–3 of this chapter).

[58 FR 19345, Apr. 14, 1993]

Editorial Note:  For Federal Register citations affecting Form N–23c–3, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

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