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

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 2021-07-31 and can be found here.


© 2021 OMB.report | Privacy Policy