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

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.

Latest Forms, Documents, and Supporting Material

Document Name
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.

All Historical Document Collections

202401-3235-019	Extension without change of a currently approved collection	2024-04-11
202103-3235-011 Approved without change	Extension without change of a currently approved collection	2021-06-16
201712-3235-006 Approved without change	Extension without change of a currently approved collection	2018-05-24
201501-3235-004 Withdrawn and continue	Extension without change of a currently approved collection	2015-01-09
201501-3235-001 Approved without change	Extension without change of a currently approved collection	2015-03-24
201111-3235-015 Approved without change	Extension without change of a currently approved collection	2011-11-17
200809-3235-017 Approved without change	Extension without change of a currently approved collection	2009-01-13
200605-3235-001 Approved without change	Extension without change of a currently approved collection	2006-05-01
200305-3235-004 Approved without change	Extension without change of a currently approved collection	2003-05-07
200007-3235-006 Approved without change	Extension without change of a currently approved collection	2000-07-18
199707-3235-009 Approved without change	Extension without change of a currently approved collection	1997-07-30
199406-3235-004 Approved without change	Revision of a currently approved collection	1994-06-22
199108-3235-015 Approved without change	Revision of a currently approved collection	1991-08-05
198808-3235-003 Approved without change	New collection (Request for a new OMB Control Number)	1988-08-09