Title 17

PART 274

Part 274 - Forms Prescribed Under The Investment Company Act Of 1940

PART 274 - FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 Authority:15 U.S.C. 77f, 77g, 77h, 77j, 77s, 78c(b), 78l, 78m, 78n, 78o(d), 80a-8, 80a-24, 80a-26, 80a-29, and Pub. L. 111-203, sec. 939A, 124 Stat. 1376 (2010), unless otherwise noted.

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.

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

17:4.0.1.1.22.0.147.1SECTION 274.0-1
   274.0-1 Availability of forms.
17:4.0.1.1.22.1SUBPART A
Subpart A - Registration Statements
17:4.0.1.1.22.1.147.1SECTION 274.5
   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.
17:4.0.1.1.22.1.147.2SECTION 274.10
   274.10 Form N-8A, for notification of registration.
17:4.0.1.1.22.1.147.3SECTION 274.11
   274.11 Form N-1, registration statement of open-end management investment companies.
17:4.0.1.1.22.1.147.4SECTION 274.11A
   274.11A Form N-1A, registration statement of open-end management investment companies.
17:4.0.1.1.22.1.147.5SECTION 274.11a-1
   274.11a-1 Form N-2, registration statement of closed end management investment companies.
17:4.0.1.1.22.1.147.6SECTION 274.11b
   274.11b Form N-3, registration statement of separate accounts organized as management investment companies.
17:4.0.1.1.22.1.147.7SECTION 274.11c
   274.11c Form N-4, registration statement of separate accounts organized as unit investment trusts.
17:4.0.1.1.22.1.147.8SECTION 274.11d
   274.11d Form N-6, registration statement of separate accounts organized as unit investment trusts that offer variable life insurance policies.
17:4.0.1.1.22.1.147.9SECTION 274.12
   274.12 Form N-8B-2, registration statement of unit investment trusts that are currently issuing securities.
17:4.0.1.1.22.1.147.10SECTION 274.13
   274.13 Form N-8B-3, registration statement of unincorporated management investment companies currently issuing periodic payment plan certificates.
17:4.0.1.1.22.1.147.11SECTION 274.14
   274.14 Form N-8B-4, registration statements of face-amount certificate companies.
17:4.0.1.1.22.1.147.12SECTION 274.15
   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.
17:4.0.1.1.22.1.147.13SECTION 274.24
   274.24 Form 24F-2, annual filing of securities sold pursuant to registration of certain investment company securities.
17:4.0.1.1.22.1.147.14SECTION 274.51
   274.51 Form N-18F-1, for notification of election pursuant to § 270.18f-1 of this chapter.
17:4.0.1.1.22.1.147.15SECTION 274.53
   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.
17:4.0.1.1.22.1.147.16SECTION 274.54
   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.
17:4.0.1.1.22.2SUBPART B
Subpart B - Forms for Reports
17:4.0.1.1.22.2.147.1SECTION 274.101
   274.101 Form N-CEN, annual report of registered investment companies.
17:4.0.1.1.22.2.147.2SECTION 274.102-274.126
   274.102-274.126 [Reserved]
17:4.0.1.1.22.2.147.3SECTION 274.127d-1
   274.127d-1 Form N-27D-1 accounting of segregated trust account.
17:4.0.1.1.22.2.147.4SECTION 274.127e-1
   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.
17:4.0.1.1.22.2.147.5SECTION 274.127f-1
   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.
17:4.0.1.1.22.2.147.6SECTION 274.128
   274.128 Form N-CSR, certified shareholder report.
17:4.0.1.1.22.2.147.7SECTION 274.129
   274.129 Form N-PX, annual report of proxy voting record of registered management investment company.
17:4.0.1.1.22.2.147.8SECTION 274.130
   274.130 [Reserved]
17:4.0.1.1.22.2.147.9SECTION 274.150
   274.150 Form N-PORT, Monthly portfolio holdings report.
17:4.0.1.1.22.2.147.10SECTION 274.200
   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
17:4.0.1.1.22.3SUBPART C
Subpart C - Forms for Other Statements
17:4.0.1.1.22.3.147.1SECTION 274.201
   274.201 Form N-MFP, portfolio holdings of money market funds.
17:4.0.1.1.22.3.147.2SECTION 274.202
   274.202 Form 3, initial statement of beneficial ownership of securities.
17:4.0.1.1.22.3.147.3SECTION 274.203
   274.203 Form 4, statement of changes in beneficial ownership of securities.
17:4.0.1.1.22.3.147.4SECTION 274.218
   274.218 Form N-8F, application for deregistration of certain registered investment companies.
17:4.0.1.1.22.3.147.5SECTION 274.219
   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.
17:4.0.1.1.22.3.147.6SECTION 274.220
   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.
17:4.0.1.1.22.3.147.7SECTION 274.221
   274.221 Form N-23c-3, Notification of repurchase offer.
17:4.0.1.1.22.3.147.8SECTION 274.222
   274.222 Form N-CR, Current report of money market fund material events.
17:4.0.1.1.22.3.147.9SECTION 274.223
   274.223 Form N-LIQUID, Current report, open-end investment company liquidity.
17:4.0.1.1.22.4SUBPART D
Subpart D - Forms for Exemptions
17:4.0.1.1.22.4.147.1SECTION 274.301
   274.301 Notification of claim of exemption pursuant to Rule 6e-2 or Rule 6e-3(T) under the Investment Company Act.
17:4.0.1.1.22.4.147.2SECTION 274.302
   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).
17:4.0.1.1.22.4.147.3SECTION 274.303
   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).
17:4.0.1.1.22.5SUBPART E
Subpart E - Forms for Electronic Filing
17:4.0.1.1.22.5.147.1SECTION 274.401
   274.401 [Reserved]
17:4.0.1.1.22.5.147.2SECTION 274.402
   274.402 Form ID, uniform application for access codes to file on EDGAR.
17:4.0.1.1.22.5.147.3SECTION 274.403
   274.403 Form SE, form for submission of paper format exhibits by electronic filers.
17:4.0.1.1.22.5.147.4SECTION 274.404
   274.404 Form TH - Notification of reliance on temporary hardship exemption.