17 CFR 274.11A
§ 274.11A Form N-1A, registration statement of open-end management investment companies.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
Cite this
- Citation
- 17 CFR 274.11A, § 274.11A Form N-1A, registration statement of open-end management investment companies, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/70102
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75c02b6c491f487f8eba619dfa657700fcf088b46e6027ddb715856d998bdc78
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Full text
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 companies or companies which issue periodic payment plan certificates or which are sponsors or depositors of companies issuing such certificates. This form shall be used for registration under the Securities Act of 1933 of the securities of all open-end management investment companies other than registered separate accounts of insurance companies. This form is not applicable for small business investment companies which register pursuant to §§ 293.24 and 274.5 of this chapter.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.