INVESTMENT
COMPANY ACT FORMS ACCEPTED BY EDGAR |
Form |
Header
Type |
Header
Description |
Form Description |
Form S-1 & Form S-3 |
S-1
S-1/A
POS AMI
S-3
S-3/A
497
497J
|
Initial Statement
Pre-effective amend
Post-effective amend
Initial Statement
Pre-effective amend
Definitive materials
Certification of no charge in definitive materials |
Registration statement for face-amount certificate
companies. |
Form N-1 & Form N-1/A |
N-1
N-1/A |
Initial Statement
Pre-effective amend |
Registration statement for open-end management investment
companies that are separate accounts of insurance companies |
N-1A |
Initial statement |
Registration statement of
open-ended management investment companies other than registered
separate accounts of insurance companies |
N-1A/A |
Pre-effective amend |
*N-1A EL |
Initial statement w/24F-2 election |
N-1A EL/A |
Pre-effective amend |
485APOS |
Filed pursuant to Rule 485(a) |
*485A24E |
Filed pursuant to Rule 485(a) w/add. shs. under 24e-2 |
485A24F |
Filed pursuant to Rule 485(a) w/24f-2 election |
485BPOS |
Filed pursuant to Rule 485(b) |
POS AMI |
Post-effective amend |
*485B24E |
Filed pursuant to Rule 485(b) wq/add. shs. under 24e-2 |
*485B24F |
Filed pursuant to Rule 485(b) w/24e-3 election |
497 |
Definitive materials |
497J |
Certificate of no charge in definitive materials |
*NOTE: This filing cannot be submitted as an
Investment |
Form N-2 |
N-2
N-2/A
POS AMI
497
497J |
Initial Statement
Pre-effective amend
Post-effective amend
Definitive materials
Certificate of no charge in definitive materials |
Registration for closed-end management investment
companies |
Form N-3 |
N-3 |
Initial Statement |
Registration statement of separate accounts
that offer variable annuity contracts and are organized as
management investment companies. |
N-3/A |
Pre-effective amend |
*N-3 EL |
Initial statement w/24f-2 election |
N-3 EL/A |
Pre-effective amend |
485APOS |
Post-effective amend pursuant to Rule 485(a) |
*485A24E |
Filed pursuant to Rule 485(a) w/add. shs. under 24e-2 |
*485A24F |
Filed pursuant to Rule 485(a) w/24f-2 election |
485BPOS |
Filed pursuant to Rule 485(b) |
*485B24E |
Filed pursuant to Rule 485(b) w/add. shs. under 24e-2 |
*485B24F |
Filed pursuant to Rule 485(b) w/add. shs. under 24e-2 |
POS AMI |
Filed pursuant to Rule 8b-16 |
497 |
Definitive materials |
497J |
Certification of no change in definitive materials |
*NOTE: This filing cannot be submitted as an
Investment Company Act of 1940 filing only. |
Form N-4 |
N-4 |
Initial Statement |
Registration statement of separate accounts
that offer variable annuity contracts to register as unit
investment trusts. |
N-4/A |
Pre-effective amend |
*N-4 EL |
Initial statement w/24f-2 election |
N-4 EL/A |
Pre-effective amend |
487 |
Pre-effective pricing amend filed pursuant to Rule 487 |
485APOS |
Post-effective amend filed pursuant to Rule 485(a) |
485A24E |
Filed pursuant to Rule 485(a) w/add. shs. under 24e-2 |
485BPOS |
Filed pursuant to Rule 485(b) |
*485B24E |
Filed pursuant to Rule 485(b) w/add. shs. under 24e-2 |
*485B24F |
Filed pursuant to Rule 485(b) w/add. shs. under 24e-2 |
POS AMI |
Filed pursuant to Rule 8b-16 |
497 |
Definitive materials |
497J |
Certification of no change in definitive materials |
*NOTE: This filing cannot be submitted as an
Investment Company Act of 1940 filing only. |
Form S-6 |
S-6 |
Initial Statement |
Registration statement for unit investment
trusts |
S-6/A |
Pre-effective amend |
S-6EL24 |
Initial statement w/24f-2 election |
S-6EL24/A |
Post-effective amend |
487 |
Pre-effective pricing amend filed pursuant to Rule 487 |
485APOS |
Post-effective amend filed pursuant to Rule 485(a) |
485A24E |
Filed pursuant to Rule 485(a) w/add. shs. under 24e-2 |
485A24F |
Filed pursuant to Rule 485(a) w/add. shs. under 24f-2 |
485BPOS |
Post-effective amend filed pursuant to Rule 485(b) |
485B24E |
Filed pursuant to Rule 485(a) w/add. shs. under 24e-2 |
485B24F |
Filed pursuant to Rule 485(a) w/add. shs. under 24f-2 |
497 |
Definitive materials |
497J |
Certification of no change in definitive materials |
Form N-5 |
N-5 |
Initial Statement |
Registration statement for small business
investment companies. |
N-5/A |
Pre-effective amend |
POS AMI |
Post-effective amend |
497 |
Definitive materials |
497J |
Certification of no change in definitive materials |
Form N-14 |
N-14 |
Initial Statement |
Registration of securities issued in
business combination transactions by investment companies and
business development companies. |
N-14/A |
Pre-effective amend |
N-14EL24 |
Initial statement w/24f-2 election |
N14EL24/A |
Pre-effective amend |
N-14AE |
Initial statement w/automatic effectiveness |
N-14AE/A |
Pre-effective amend |
N14AE24 |
Initial statement w/automatic effectivenss w/24f-2
election |
N14AE24/A |
Pre-effective amend |
497 |
Definitive materials |
497J |
Certification of no change in definitive materials |
Form N-8A |
N-8A
N-8A/A |
Initial filing
Amendments |
Notification of registration |
Form N-8B-2 |
N-8B-2
N-8B-2/A |
Initial filing
Amendments |
Registration statement of unit investment trusts which
are currently issuing securities |
Form N-8B-3 |
N-8B-3
N-8B-3/A |
Initial filing
Amendments |
Registration statement of unincorporated management
investment companies currently issuing periodic payment plan
certificates. |
Form N-8B-4 |
N-8B-4
N-8B-4/A |
Initial filing
Amendments |
Registration statement of face-amount certificate
companies. |
Form N-18F-1 |
N-18F-1
N-18F-1/A |
Initial filing
Amendments |
Notification of election by registered open-end
investment company to commit itself to pay in cash all redemption
request by a shareholder of record. |
Form N-23C-1 |
N-23C-1
N-23C-1/A |
Initial filing
Amendments |
Report by registered close-end investment company of
repurchase of its own securities during the last month. |
Form N-27D-1 |
N-27D-1
N-27D-1/A |
Initial filing
Amendments |
Annual report of accounts of segregated trust by
depositor or principal underwriter. |
Form N-6C9 |
N-6C9
N-6C9/A |
Initial filing
Amendments |
Exemptions for foreign banks under Rule 6(c)9(c). |
Form 2-E |
2E
2-E/A |
Initial filing
Amendments |
Report of sales of securities pursuant to Regulation E. |
Form N-SAR |
NSAR-A
NSAR-A/A |
Initial Filing
Amendments |
Semi-annual report for management companies |
NSAR-AT
NSAR-AT/A |
Initital Filing
Amendments |
Transitional semi-annual report |
NSAR-B
NSAR-B/A |
Initial Filing
Amendments |
Annual report for management companies |
NSAR-BT
NSAR-BT/A |
Initial Filing
Amendments |
Transitional annual report |
NSAR-U
NSAR-U/A |
Initial Filing
Amendments |
Annual report for unit investment trusts |
NT-NSAR
NT-NSAR/A
*NTFNSAR |
Initial Filing
Amendments
Issued by SEC |
Request for extension of time for filing form N-SAR |
Form N-30D |
N-30D
N-30D/A |
Initial Filing
Amendments |
Semi-annual reports mailed to shareholders |
Form N-30B-2 |
N-30B-2 |
Filing |
Periodic and interim reports mailed to shareholders |
Rule 24f-1 |
24F-1 |
Notification of election |
Retroactive registration of certain investment company
shares sold in excess of number of shares included in an effective
registration statement |
Rule 24f-2 |
24F-2EL
24F-2EL/A
24F-2NT
|
Declaration of election
Amendments
Rule 24f-2 notice
Amendments
Termination of declaration of election
Amendments |
Request for extension of time for filing form N-SAR |
Note: This header type is controlled and
issued by the SEC and indicates that the Form 12B-25 was filed
late. |
Rule 24f-3 |
24F-3NT
24F-3NT/A |
Initial Filing
Amendments |
Notice for secondary securities registration of unit
investment trusts |
Rule 6-F |
N-6F
N-6F/A |
Initial Filing
Amendments |
Notice of intent to elect to be a business development
company. |
Rule N-54A |
N-54A
N-54A/A |
Initial Filing
Amendments |
Notification of election to be a business development
company. |
Rule N-54C |
N-54C
N-54C/A |
Initial Filing
Amendments |
Notification of withdrawal of election to be a business
development company. |