OMB control number
Rule 11a-3 under the Investment Company Act of 1940 - Offers of Exchange by Open-End Investment Companies Other Than Separate Accounts.
OMB 3235-0358 · SEC.
OMB 3235-0358
Rule 11a-3 is an exemptive rule that permits open-end investment companies and their principal underwriters to make certain offers of exchange to the investment company's shareholders and shareholders of other open-end investment companies within the same group of investment companies provided certain conditions are met.
The latest form for Rule 11a-3 under the Investment Company Act of 1940 - Offers of Exchange by Open-End Investment Companies Other Than Separate Accounts. expires 2027-05-31 and is listed under ICR 202401-3235-019.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 3235-0358.pdf | Supplementary Document |
 3235-0358.pdf | Supplementary Document |
| 11a-3_Supporting_Statement.pdf | Supporting Statement A |
 Rule 11a-3 under the Investment Company Act of 1940 - Offers of Exchange by Open-End Investment Companies Other Than Separate Accounts. |
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