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FEDERAL · 17 CFR

Part 274 — Forms Prescribed Under the Investment Company Act of 1940

39 sections · Title 17: Commodity and Securities Exchanges

§ 274.0-1Availability of forms.
§ 274.5Form N-5, for registration statement of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940.
§ 274.10Form N-8A, for notification of registration.
§ 274.11§ 274.11 [Reserved]
§ 274.11AForm N-1A, registration statement of open-end management investment companies.
§ 274.11a-1Form N-2, registration statement of closed end management investment companies.
§ 274.11bForm N-3, registration statement of separate accounts organized as management investment companies.
§ 274.11cForm N-4, registration statement of separate accounts organized as unit investment trusts.
§ 274.11dForm N-6, registration statement of separate accounts organized as unit investment trusts that offer variable life insurance policies.
§ 274.12Form N-8B-2, registration statement of unit investment trusts that are currently issuing securities.
§ 274.13Form N-8B-3, registration statement of unincorporated management investment companies currently issuing periodic payment plan certificates.
§ 274.14Form N-8B-4, registration statements of face-amount certificate companies.
§ 274.15Form N-6F, notice of intent to elect to be subject to sections 55 through 65 of the Investment Company Act of 1940.
§ 274.24Form 24F-2, annual filing of securities sold pursuant to registration of certain investment company securities and registered non-variable annuities.
§ 274.51Form N-18F-1, for notification of election pursuant to § 270.18f-1 of this chapter.
§ 274.53Form 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.
§ 274.54Form 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.
§ 274.101Form N-CEN, annual report of registered investment companies.
§ 274.102-274.126§§ 274.102-274.126 [Reserved]
§ 274.127d-1Form N-27D-1 accounting of segregated trust account.
§ 274.128Form N-CSR, certified shareholder report.
§ 274.129Form N-PX, annual report of proxy voting record.
§ 274.130§ 274.130 [Reserved]
§ 274.150Form N-PORT, Monthly portfolio holdings report.
§ 274.200Form 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.
§ 274.201Form N-MFP, portfolio holdings of money market funds.
§ 274.202Form 3, initial statement of beneficial ownership of securities.
§ 274.203Form 4, statement of changes in beneficial ownership of securities.
§ 274.218Form N-8F, application for deregistration of certain registered investment companies.
§ 274.219Form 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.
§ 274.220Form 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.
§ 274.221Form N-23c-3, Notification of repurchase offer.
§ 274.222Form N-CR, Current report of money market fund material events.
§ 274.223Form N-RN, Current report, open- and closed-end investment company reporting.
§ 274.301Notification of claim of exemption pursuant to Rule 6e-2 or Rule 6e-3(T) under the Investment Company Act.
§ 274.401§ 274.401 [Reserved]
§ 274.402Form ID, uniform application for access codes to file on EDGAR.
§ 274.403Form SE, form for submission of paper format exhibits by electronic filers.
§ 274.404Form TH—Notification of reliance on temporary hardship exemption.