Source: https://dart.deloitte.com/USDART/home/accounting/sec/rules-regulations/274-forms-prescribed-under-investment-company/a-registration-statements
Timestamp: 2020-03-29 12:38:47
Document Index: 225566552

Matched Legal Cases: ['§ 239', '§ 239', '§ 239', '§ 239', '§ 270', '§ 270']

A — Registration Statements | DART – Deloitte Accounting Research Tool
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.
For Federal Register citations affecting Form N-8A, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.
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.
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 issue 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.
274.11b — Form N-3, registration statement of separate accounts organized as management investment companies.
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).
274.11c — Form N-4, registration statement of separate accounts organized as unit investment trusts.
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).
274.11d — Form N-6, registration statement of separate accounts organized as unit investment trusts that offer variable life insurance policies.
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).
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.
(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.
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.
A copy of Form N-6F accompanied this release as originally filed in the Office of the Federal Register.
A copy of Form N-54A accompanied this release as originally filed in the Office of the Federal Register.
A copy of Form N-54C accompanied this release as originally filed in the Office of the Federal Register.