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 can be found here.
Latest Forms, Documents, and Supporting Material
Document Name |
|---|
 3235-0358.pdf (document unavailable) Supplementary Document |
 3235-0358.pdf (document unavailable) Supplementary Document |
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 All Historical Document Collections