PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940

PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940

§ 274.0-1 - Availability of forms.
§ 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.
§ 274.101 - Form N-CEN, annual report of registered investment companies.
§§ 274.102-274.126 - Form N-27D-1 accounting of segregated trust account.
§ 274.127d-1 - Form N-27D-1 accounting of segregated trust account.
§ 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.
§ 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.
§ 274.128 - Form N-CSR, certified shareholder report.
§ 274.129 - Form N-PX, annual report of proxy voting record of registered management investment company.
§ 274.130 - Form N-Q, quarterly schedule of portfolio holdings of registered management investment company.
§ 274.150 - Form N-PORT, Monthly portfolio holdings report.
§ 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.
§ 274.201 - Form N-MFP, portfolio holdings of money market funds.
§ 274.202 - Form 3, initial statement of beneficial ownership of securities.
§ 274.203 - Form 4, statement of changes in beneficial ownership of securities.
§ 274.218 - Form N-8F, application for deregistration of certain registered investment companies.
§ 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.
§ 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.
§ 274.221 - Form N-23c-3, Notification of repurchase offer.
§ 274.222 - Form N-CR, Current report of money market fund material events.
§ 274.223 - Form N-LIQUID, Current report, open-end investment company liquidity.
§ 274.301 - Notification of claim of exemption pursuant to Rule 6e-2 or Rule 6e-3(T) under the Investment Company Act.
§ 274.302 - Form N-27I-1, notice of right of withdrawal and refund for variable life insurance contractholders required pursuant to Rule 6e-2 (§ 270.6e-2 of this chapter).
§ 274.303 - Form N-27I-2, notice of withdrawal right and statement of charges for variable life insurance contractholders required pursuant to Rule 6e-2 (§ 270.6e-2 of this chapter).
§ 274.401 - Form ID, uniform application for access codes to file on EDGAR.
§ 274.402 - Form ID, uniform application for access codes to file on EDGAR.
§ 274.403 - Form SE, form for submission of paper format exhibits by electronic filers.
§ 274.404 - Form TH—Notification of reliance on temporary hardship exemption.

We have updated our Terms of Service, Privacy Policy, and Disclosures. By continuing to browse this site, you agree to our Terms of Service, Privacy Policy, and Disclosures.

Copyright ©2024 LegalFix. All rights reserved. LegalFix is not a law firm, is not licensed to practice law, and does not provide legal advice, services, or representation. The information on this website is an overview of the legal insurance products you can purchase—or that may be provided by your employer as an employee benefit or by your credit union or other membership group as a membership benefit.

LegalFix provides its members with access to legal services through a network of provider law firms. LegalFix, its corporate entity, and its officers, directors, employees, agents, and contractors do not provide legal advice, services, or representation—directly or indirectly.

The articles and information on the site are not legal advice and should not be relied upon—they are for information purposes only. You should become a LegalFix member to get legal services from one of our provider law firms.

You should not disclose confidential or potentially incriminating information to LegalFix—you should only communicate such information to your provider law firm.

The benefits and legal services described in the LegalFix legal plans are not always available in all states or with all plans. See the legal plan Benefit Overview and the more comprehensive legal plan contract during checkout for coverage details in your state.

Use of this website, the purchase of legal insurance products, and access to the LegalFix network of provider law firms are subject to the LegalFix Terms of Service and Privacy Policy.

Bookish