Form N-8A Cite

Securities and Exchange Commission

§ 274.11A

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.

§ 274.0–1 Availability of forms.
(a) This part identifies and describes
the forms prescribed for use under the
Investment Company Act of 1940.
(b) Any person may obtain a copy of
any form prescribed for use in this part
by written request to the Securities
and Exchange Commission, 450 Fifth
Street, NW., Washington, DC 20549. Any
person may inspect the forms at this
address and at the Commission’s regional and district offices. (See § 200.11
of this chapter for the addresses of SEC
regional and district offices)
[46 FR 17757, Mar. 20, 1981, as amended at 47
FR 26820, June 22, 1982; 59 FR 5946, Feb. 9,
1994]

ebenthall on PRODPC60 with CFR

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.
This form shall be used for the registration statement under both sections 6 and 7 of the Securities Act of
1933 (15 U.S.C. 77f, 77g) and section 8(b)
of the Investment Company Act of 1940
(15 U.S.C. 80a–8(b)), by a small business

investment company which is licensed
as such under the Small Business Investment Act of 1958 or which has received preliminary approval of the
Small Business Administration and has
been notified by that Administration
that
it
may
submit
a
license
application.
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form N–5, see the List of
CFR Sections Affected, which appears in the
Finding Aids section of the printed volume
and on GPO Access.

§ 274.10 Form N–8A, for notification of
registration.
This form shall be used as the notification of registration filed with the
Commission pursuant to section 8(a) of
the Investment Company Act of 1940.
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form N–8A, see the List of
CFR Sections Affected, which appears in the
Finding Aids section of the printed volume
and on GPO Access.

§ 274.11 Form N–1, registration statement of open-end management investment companies.
Form N–1 shall be used as the registration statement to be filed pursuant to Section 8(b) of the Investment
Company Act of 1940 by open-end management investment companies that
are separate accounts of insurance
companies. This form shall also be used
for registration under the Securities
Act of 1933 of the securities of all such
companies. This form is not applicable
for small business investment companies which register pursuant to §§ 239.24
and 274.5 of this chapter.
[49 FR 32060, Aug. 10, 1984, as amended at 59
FR 52701, Oct. 19, 1994]
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form N–1, see the List of
CFR Sections Affected, which appears in the
Finding Aids section of the printed volume
and on GPO Access.

§ 274.11A Form
N–1A,
registration
statement of open-end management
investment companies.
Form N–1A shall be used as the registration statement to be filed pursuant to section 8(b) of the Investment
Company Act of 1940 by open-end management investment companies other
than separate accounts of insurance

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