Forms

Form N-3 shall be used by all separate accounts offering variable annuity contracts which are registered under the Investment Company Act of 1940 (“1940 Act”) ...

Form N-4 shall be used by all separate accounts offering variable annuity contracts which are registered under the Investment Company Act of 1940 (“1940 Act”) ...

Form N-5 is to be used for registration under the Securities Act of 1933 of securities issued by any small business investment company which is ...

Form N-6 is to be used by separate accounts that are unit investment trusts that offer variable life insurance contracts to register under the Investment ...

This form shall be used as the form for registration statements to be filed, pursuant to Section 8(b) of the Investment Company Act of 1940, ...

Form N-14 may be used by all management investment companies registered under the Investment Company Act of 1940 (“1940 Act” or“Investment Company Act”)andbusiness development companies ...

Form N-CSR is to be used by management investment companies to file reports with the Commission not later than 10 days after the transmission to ...

This document makes technical corrections to several amendments to Form N-1A, which the Commission adopted as part of three rulemakings: Investment Company Reporting Modernization, which ...

The financial services industry has been clamoring for changes to the SEC’s proposed customer relationship summary form since it was proposed last April, but investors ...

Next month, larger mutual funds will begin filing liquidity data on SEC Form N-CEN. Ahead of that deadline, the SEC’s Division of Investment Management has ...