Part 274 - FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940  


§ 274.0-1 Availability of forms.
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 registration.
§ 274.11 Form N–1, registration statement of open-end management investment companies.
§ 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.
§ 274.11A 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.
Subpart B — Forms for Reports
§ 274.101 Form N-CEN, annual report of registered investment companies.
§ 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.
§§ 274.102-274.126 [Reserved]
§ 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.
Subpart C — Forms for Other Statements
§ 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.
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–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).
Subpart E — Forms for Electronic Filing
§ 274.401 [Reserved]
§ 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.

Authority

15 U.S.C. 77f, 77g, 77h, 77j, 77s, 78c(b), 78l, 78m, 78n, 78o(d), 80a–8, 80a–24, 80a–26, and 80a–29, unless otherwise noted. Section 274.101 is also issued under secs. 3(a), 406, and 407, Pub. L. 107–204, 116 Stat. 745. Section 274.128 is also issued under 15 U.S.C. 78j-1, 7202, 7233, 7241, 7264, and 7265; and 18 U.S.C. 1350. Section 274.130 is also issued under 15 U.S.C. 7202 and 7241.

Source

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