Lapas attēli
PDF
ePub

Subject

Release

No.

Date

Fed. Reg. Vol. and

Page

[blocks in formation]

Statement of the Commission Regarding Use of Internet Web Sites to Otter

Securities, Solicit Securities Transactions or Advertise Investment Services

Offshore, Statement of the Commission Regarding Disclosure of Year 2000 Issues and

Consequences by Public Companies, Investment Advisers, Investment

Companies, and Municipal Securities Issuers. Interpretive Matters Concerning Independent Directors of Investment Compa

nies.. Use of electronic media Commission Guidance on Mini-Tender Offers and Limited Partnership Ten

der Ofters. Exemption From Section 101(c)(1) of the Electronic Signatures in Global and

National Commerce Act for Registered Investment Companies. Application of the Electronic Signatures in Global and National Commerce

Act to Record Retention Requirements Pertaining to Issuers.

[blocks in formation]

PART 274-FORMS PRESCRIBED

UNDER THE INVESTMENT COMPANY ACT OF 1940

Sec. 274.0-1 Availability of forms.

274.51 Form N-18F-1, for notification of

election pursuant to $270.181-1 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 with

drawal 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.

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. 274.10 Form N-8A, for notification of reg

istration. 274.11 Form N-1, registration statement of

open end management investment com

panies. 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 manage

ment investment companies. 274.11c Form N 4, registration statement of

separate accounts organized as unit in

vestment trusts. 274.12 Form N8B-2, registration statement

of unit investment trusts which are cur

rently issuing securities. 274.13 Form N-8B-3, registration statement

of unincorporated management investment companies currently issuing peri

odic 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 securi

ties sold pursuant to registration of certain investment company securities.

Subpart B-Forms for Reports 274.101 Form N-SAR, semi-annual report of

registered investment companies. 274.102-274.126 (Reserved] 274.1270-1 Form N-27D-1, accounting of seg

regated trust account. 274.127e-1 Form N-27E-1, notice to periodic

payment plan certificate holders of 18month surrender rights with respect to

periodic payment plan certificates, 274.127f-1 Form N-27F-1, notice of periodic

payment plan certificate holders of 45day withdrawal right with respect to

periodic payment plan certificates. 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.

Subpart C-Forms for Other Statements

274.201 Form N-23C-1, statement by reg

istered closed-end investment company with respect to purchases of its own securities pursuant to Rule 23c-1 during

the last calendar month. 274.202 Form 3, initial statement of bene

ficial ownership of securities. 274.203 Form 4, statement of changes in ben

eficial ownership of securities.

of this chapter for the addresses of SEC regional and district offices) [46 FR 17757, Mar. 20, 1981, as amended at 47 FR 26820, June 22, 1982; 59 FR 5946, Feb. 9, 1994]

a

274.218 Form N-8F, application for

deregistration of certain registered in

vestment 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-171-2, 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 177-2. 274.221 Form N-230-3, Notification of repur

chase offer.

Subpart A-Registration

Statements

Subpart D-Forms for Exemptions 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-271-1, notice of right of

withdrawal and refund for variable life insurance contractholders required pursuant to Rule 6e-2 ($ 270.6e-2 of this chap

ter). 274.303 Form N-271-2, 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).

$ 274.5 Form N-5, for

registration statement of small business invest. ment 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

license application.

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 on GPO Access.

a

Subpart E-Forms for Electronic Filing

274.401 Form ET, transmittal form for elec

tronic format documents on magnetic tape or diskette to be filed on the

EDGAR system. 274.402 Form ID, uniform application for ac

cess codes to file on EDGAR. 274.403 Form SE, form for submission of

paper format exhibits by electronic fil

ers. 274.404 Form TH-Notification of reliance

on temporary hardship exemption. AUTHORITY: 15 U.S.C. 776, 77g, 77h, 773, 77s, 78c(b), 781, 78m, 78n, 780(d), 80a-8, 80a-24, and 80a-29, unless otherwise noted.

SOURCE: 33 FR 19003, Dec. 20, 1968, unless otherwise noted.

$ 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.

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 on GPO Access.

$ 274.0-1 Availability of forms.

(a) This part identifies and describes the forms prescribed for use under the Investment Company Act of 1940.

(b) Any person may obtain a copy of any form prescribed for use in this part by written request to the Securities and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549. Any person may inspect the forms at this address and at the Commission's regional and district offices. (See $ 200.11

$ 274.11 Form N-1, registration state

ment of open-end management in

vestment companies. Form N-1 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 that are separate accounts of insurance companies. This form shall also be used for registration under the Securities Act of 1933 of the securities of all such companies. This form is not applicable for small business investment companies which register pursuant to $8 239.24 and 274.5 of this chapter. [49 FR 32060, Aug. 10, 1984, as amended at 59 FR 52701, Oct. 19, 1994)

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 on GPO Access.

register pursuant to $8 239.24 and 274.5 of this chapter. (43 FR 39553, Sept. 5, 1978, as amended at 59 FR 52701, Oct. 19, 1994)

EDITORIAL NOTE: For FEDERAL REGISTER Cİtations affecting Form N-2, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

$ 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)

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 on GPO Access.

$ 274.11b Form N-3, registration state

ment of separate accounts orga. nized 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)

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 on GPO Access.

$ 274.11a-1 Form N-2, registration

statement of closed end manage

ment 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 isssue 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

$ 274.11c Form N 4, registration state

ment of separate accounts orga

nized 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)

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 on GPO Access.

$ 274.12 Form N-8B-2, registration

statement of unit investment trusts which are currently issuing securi.

ties. (a) 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 which are currently issuing securities, including unit investment trusts which are issuers of periodic payment plan certificates.

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. [47 FR 10520, Mar. 11, 1982]

EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form N-8B-2, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

$ 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.

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 on GPO Access.

§ 274.24 Form 24F-2, annual filing of

securities sold pursuant to registration of certain investment company

securities. Form 24F-2 shall be used as the annual report filed by face amount certificate companies, open-end management companies, and unit investment trusts pursuant to $270.24f-2 of this chapter for reporting securities sold during the fiscal year. [62 FR 47940, Sept. 12, 1997)

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 on GPO Access.

$ 274.14 Form N-8B-4, registration

statements of face-amount certifi.

cate companies. This form shall be used for registration statements of face-amount certificate companies registered under the Investment Company Act of 1940.

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 on GPO Access.

$ 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 $270.18f1 of this chapter by a registered openend 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)

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 on GPO Access.

$ 274.15 Form N-6F, notice of intent to

elect to be subject to sections 55 through 65 of the Investment Com

pany 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

$ 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.

1 A copy of Form N-6F accompanied this release as originally filed in the Office of the Federal Register.

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)

EDITORIAL NOTE: For FEDERAL REGISTER CItations affecting Form N-SAR, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

88 274.102–274.126 (Reserved]

8274.54 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 In

vestment 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.3 [47 FR 10520, Mar. 11, 1982)

$ 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)

Subpart B-Forms for Reports

1

$ 274.101 Form N-SAR, semi-annual re

port of registered investment com

8274.127e-1 Form N-27E-1, notice to

periodic payment plan certificate holders of 18-month surrender rights with respect to periodic pay.

ment 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 FEDERAL REGISTER CItations affecting Form N-27E-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

panies. This form shall be used by registered investment companies for semi-annual or annual reports to be filed pursuant to rule 30a-1 (17 CFR 270.30a-1) or 30bl1 (17 CFR 270.30b1-1) in satisfaction of the requirement of section 30(a) of the Investment Company Act of 1940 that every registered investment company must file annually with the Commission such information, documents and reports as investment companies having securities registered on a national securities exchange are required to file annually pursuant to section 13(a) of the Securities Exchange Act of 1934 and the rules and regulations thereunder (same as $249.330 of this chapter). [50 FR 1450, Jan. 11, 1985, as amended at 54 FR 10322, Mar. 13, 1989; 59 FR 52701, Oct. 19, 1994]

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.

8 274.127f-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

« iepriekšējāTurpināt »