for small business investment companies which register pursuant to §§ 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. $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. § 274.11a-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 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 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] 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 on GPO Access. $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] 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. § 274.11c 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] 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 securities. (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. 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. $274.15 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. 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. § 274.51 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. $274.53 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. 1A 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] $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.3 [47 FR 10520, Mar. 11, 1982] Subpart B-Forms for Reports $274.101 Form N-SAR, semi-annual report of registered investment companies. 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 30b11 (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. § 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] $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. 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. $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 of the form see paragraph (d) of § 270.27f-1 of this chapter. [45 FR 17958, Mar. 20, 1980] EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form N-27F-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access. $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. This form shall be filed pursuant to Rule 17d-2 (§ 270.17d-2 of this chapter) as the report required, under subparagraph (d)(3) of Rule 17d-1 (§ 270.17d1(d)(3) of this chapter), to be filed, either jointly or separately, by a small business investment company (SBIC) licensed as such under the Small Business Investment Act of 1958, and by a bank which is an affiliated person of either the SBIC or of an affiliated person of the SBIC, with respect to investments in a small business concern by the SBIC and the bank. Subpart C-Forms for Other § 274.201 Form N-23C-1, statement by registered closed-end investment company with respect to purchases of its own securities pursuant to Rule 23c-1 during the last calendar month. This form shall be filed, pursuant to subparagraph (a)(11) of Rule 23c-1 (§ 270.23c-1(a)(11) of this chapter) and section 23(c) of the Investment Company Act of 1940, by a registered closedend investment company for reporting monthly purchases of securities of which it is the issuer, on or before the tenth day of the calendar month following the month in which the purchase occurs; but no report need be filed for any month in which there have been no such purchases. EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form N-23C-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access. § 274.202 Form 3, initial statement of beneficial ownership of securities. This form shall be filed pursuant to Rule 30f-1 (§ 270.30f-1 of this chapter) for initial statements of beneficial ownership of securities required to be filed pursuant to section 30(f) of the Investment Company Act of 1940. (Same as § 249.103 of this chapter.) § 274.203 Form 4, statement of changes in beneficial ownership of securities. This form shall be filed pursuant to Rule 30f-1 (§ 270.30f-1 of this chapter) for statements of changes in beneficial ownership of securities required to be filed pursuant to section 30(f) of the Investment Company Act of 1940. (Same as § 249.104 of this chapter.) § 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. Subpart D-Forms for Exemptions AUTHORITY: Secs. 6(c), (15 U.S.C. 80a-6(c)), 6(e), (15 U.S.C. 80a-6(e)), 38(a), 15 U.S.C. 80a37(a) of the Act. $274.301 Notification of claim of exemption pursuant to Rule 6e-2 or Rule 6e-3(T) under the Investment Company Act. This form shall be filed with the Commission as required by § 270.6e-2 or § 270.6e-3(T) of this chapter by each insurance company with respect to each separate account for which exemption is claimed pursuant to §270.6e-2 or § 270.6e-3(T). [49 FR 47228, Dec. 3, 1984] EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form N-6EI-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access. § 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 chapter). [41 FR 47032, Oct. 27, 1976] EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form N-271-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access. § 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). [41 FR 47032, Oct. 27, 1976] EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form N-271-2, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access. Subpart E-Forms for Electronic Filing SOURCE: 50 FR 40485, Oct. 4, 1985, unless otherwise noted. $274.401 Form ET, transmittal form for electronic format documents on magnetic tape or diskette to be filed on the EDGAR system. This form shall accompany electronic filings submitted on magnetic tape or diskette under the EDGAR system. [57 FR 18221, Apr. 29, 1992] § 274.402 Form ID, uniform application for access codes to file on EDGAR. (a) Form ID is to be used by registrants, third party filers, or their agents for the purpose of requesting assignment of access codes to permit filing on EDGAR, as follows: (1) Central Index Key (CIK)—uniquely identifies each filer, filing agent, and training agent. (2) CIK Confirmation Code (CCC)— used in the header of a filing in conjunction with the CIK of the filer to ensure that the filing has been authorized by the filer. (3) Password (PW)-allows a filer, filing agent or training agent to log on to |