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.
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.
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Editorial Note:
For Federal Register citations affecting Form N-5, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.
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274.10 — Form N-8A, for notification of registration.
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.
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Editorial Note:
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.
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274.11 — [Removed and Reserved]
[49 FR 32060, Aug. 10, 1984, as amended at 59 FR 52701, Oct. 19, 1994; as
amended at 85 FR 25964, May 1, 2020]
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Editorial Note:
For Federal Register citations affecting Form N-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.
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274.11A — Form N-1A, registration statement of open-end management investment companies.
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]
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Editorial Note:
For Federal Register citations affecting Form N-1A, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.
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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.
[43 FR 39553, Sept. 5, 1978, as amended at 59 FR 52701, Oct. 19, 1994]
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Editorial Note:
For Federal Register citations affecting Form N-2, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.
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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).
[50 FR 26161, June 25, 1985]
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Editorial Note:
For Federal Register citations affecting Form N-3, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.
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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).
[50 FR 26161, June 25, 1985]
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Editorial Note:
For Federal Register citations affecting Form N-4, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.
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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).
[67 FR 19870, Apr. 23, 2002]
274.12 — Form N-8B-2, registration statement of unit investment trusts that are currently issuing securities.
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]
274.13 — Form N-8B-3, registration statement of unincorporated management investment companies currently issuing periodic payment plan certificates.
(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.
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Editorial Note:
For Federal Register citations affecting Form N-8B-3, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.
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274.14 — Form N-8B-4, registration statements of face-amount certificate companies.
This form shall be used for registration statements of face-amount certificate companies registered under the Investment Company Act of 1940.
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Editorial Note:
For Federal Register citations affecting Form N-8B-4, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.
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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.
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
[47 FR 10520, Mar. 11, 1982]
274.24 — Form 24F-2, annual filing of securities sold pursuant to registration of certain investment company securities and registered non-variable annuities.
Form 24F-2 shall be used as the annual report filed by face amount certificate
companies, open-end management companies, unit investment trusts, and registered
non-variable annuities pursuant to §§ 230.456, 230.457, or 270.24f-2 of this chapter for
reporting securities sold during the fiscal year.
[62 FR 47940, Sept. 12, 1997; as amended at 89 FR 59978, July 24,
2024]
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Editorial Note:
For Federal Register citations affecting Form 24F-2, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.
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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.
[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]
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Editorial Note:
For Federal Register citations affecting Form N-18F-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.
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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.
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
[47 FR 10520, Mar. 11, 1982]
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.
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.
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[47 FR 10520, Mar. 11, 1982]
Footnotes
1
A copy of Form N-6F accompanied this release as originally filed in the Office of the Federal Register.
2
A copy of Form N-54A accompanied this release as originally filed in the Office of the Federal Register.
3
A copy of Form N-54C accompanied this release as originally filed in the Office of the Federal Register.