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Electronic Code of Federal Regulations

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e-CFR Data is current as of October 23, 2014

Title 17Chapter IIPart 274


TITLE 17—Commodity and Securities Exchanges

CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)

PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940

rule
§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.
§274.11A
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.
§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.
rule

Subpart B—FORMS FOR REPORTS

§274.101
Form N-SAR, semi-annual report of registered investment companies.
§§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.
§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.
§274.200
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.
rule

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.
rule

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).
rule

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.


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