Code of Federal Regulations (Last Updated: November 8, 2024) |
Title 17 - Commodity and Securities Exchanges |
Chapter II - Securities and Exchange Commission |
Part 270 - Rules and Regulations, Investment Company Act of 1940 |
§ 270.30d-2 - Reports to shareholders of unit investment trusts.
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(a) At least semiannually every registered unit investment trust substantially all the assets of which consist of securities issued by a management company must transmit to each shareholder of record (including record holders of periodic payment plan certificates), a report containing all the applicable information and financial statements or their equivalent, required by § 270.30d-1 to be included in reports of the management company for the same fiscal period. Each of these reports must be transmitted within the period allowed the management company by § 270.30d-1 for transmitting reports to its shareholders.
(b) Any report required by this section will be considered transmitted to a shareholder of record if the unit investment trust satisfies the conditions set forth in § 270.30d-1(f) with respect to that shareholder.