Form N-1 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 that are separate accounts of insurance companies. This form shall also be used for registration under the Securities Act of 1933 of the securities of all such companies. This form is not applicable for small business investment companies which register pursuant to Secs. 239.24 and 274.5 of this chapter. [49 FR 32060, Aug. 10, 1984, as amended at 59 FR 52701, Oct. 19, 1994]
Editorial Note: For Federal Register citations affecting Form N-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov. Sec. 274.11A Form N-1A, registration statement of open-end management investment companies.
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 Secs. 293.24 and 274.5 of this chapter. [48 FR 37940, Aug. 22, 1983, as amended at 59 FR 52701, Oct. 19, 1994]
Editorial Note: For Federal Register citations affecting Form N-1A, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov. Sec. 274.11a-1 Form N-2, registration statement of closed end management investment companies.
This form shall be used as the registration statement to be filed pursuant to section 8(b) of the Investment Company Act of 1940 by closed end management investment companies other than companies which issue periodic payment plan certificates or which are sponsors or depositors of companies issuing such certificates. This form also shall be used for registration under the Securities Act of 1933 of the securities of all closed end management investment companies. This form is not applicable for small business investment companies which register pursuant to Secs. 239.24 and 274.5 of this chapter. [43 FR 39553, Sept. 5, 1978, as amended at 59 FR 52701, Oct. 19, 1994]
Editorial Note: For Federal Register citations affecting Form N-2, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov. Sec. 274.11b Form N-3, registration statement of separate accounts organized as management investment companies.
Form N-3 shall be used as the registration statement to be filed pursuant to section 8(b) of the Investment Company Act of 1940 by separate accounts that offer variable annuity contracts to register as management investment companies. This form shall also be used for registration under the Securities Act of 1933 of the securities of such separate accounts (Sec. 239.17a of this chapter). [50 FR 26161, June 25, 1985]
Editorial Note: For Federal Register citations affecting Form N-3, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov. Sec. 274.11c Form N-4, registration statement of separate accounts organized as unit investment trusts.
Form N-4 shall be used as the registration statement to be filed pursuant to section 8(b) of the Investment Company Act of 1940 by separate accounts that offer variable annuity contracts to register as unit investment trusts. This form shall also be used for registration under the Securities Act of 1933 of the securities of such separate accounts (Sec. 239.17b of this chapter). [50 FR 26161, June 25, 1985]
Editorial Note: For Federal Register citations affecting Form N-4, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov. Sec. 274.11d Form N-6, registration statement of separate accounts organized as unit investment trusts that offer variable life insurance policies.
Form N-6 shall be used as the registration statement to be filed pursuant to section 8(b) of the Investment Company Act of 1940 by separate accounts that offer variable life insurance policies to register as unit investment trusts. This form shall also be used for registration under the Securities Act of 1933 of the securities of such separate accounts (Sec. 239.17c of this chapter). [67 FR 19870, Apr. 23, 2002]