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U.S. Securities and Exchange Commission

Notice to Investment Company Registrants Concerning Mandatory Series and Class (Contract) Identifiers and Other Requirements Effective February 6, 2006

Starting February 6, filers who filed their latest registration statements or amendments on Form N-1A, N-3, N-4, or N-6 (S/C Funds) must include their series and classes (contracts) identifiers in those EDGAR submissions identified in the EDGAR Filer Manual. These submissions must include all series and/or class (or contract) identifiers of each series and/or class (or contract) on behalf of which the filing is made. See Rule 313 of Regulation S-T [17 CFR 232.313].

As required by Rule 313, on and after February 6, 2006:

  • Filers will obtain series and class (contract) identifiers for new series and classes (contracts) created on and after February 6 by including information in the EDGAR submission template of the substantive filing that is made to add the new series and classes (contracts). The new identifiers will appear on the EDGAR notice of acceptance for the filing.
     
  • S/C Funds were to have used the series and class page on the edgarfiling website (https://www.edgarfiling.sec.gov/) before February 6 to enter information for their series and classes (contracts) that were in existence prior to February 6 to obtain their series and classes (contracts) identifiers. (If a filer failed to do so, the filer needs to call the Division of Investment Management's IM EDGAR Inquiry Line (202-551-6989) for instructions on how to proceed.)
     
  • Filings that require series and class (contract) identifiers will be suspended if they do not include identifiers or do not include the correct identifiers for that registrant (CIK).
     
  • Series and class (contract) identifiers will be part of the official filing: a filing made under an incorrect identifier will be a filing for the wrong series and/or class (contract), i.e., it will be a filing on behalf of the identifier that is used.
     
  • •All investment companies must enter their investment company “type” in most EDGAR submission templates (e.g., N-1A, N-2, N-3, N-4, N-5, N-6, or S-6 filer); this entry will determine whether the filing is being made by a S/C Fund for which series and class (contract) identifiers are required.

S/C Funds are required by Rule 313 of Regulation S-T to keep current their information concerning their existing and new series and/or classes (or contracts, in the case of separate accounts), including series and/or class (contract) name and ticker symbol, if any, and be issued series and/or class (or contract) identification numbers.

If a class (or contract) has a ticker symbol, the company must enter it when obtaining identifiers; if a class (or contract) later obtains a ticker symbol, the company must update the information for the class (or contract) to add the ticker symbol.

S/C Funds are also required by Rule 313 to deactivate for EDGAR purposes any series and/or class (or contract, in the case of separate accounts) that are no longer offered, go out of existence, or deregister following the last filing for that series and/or class (or contract, in the case of separate accounts), but the registrant must not deactivate the last remaining series unless the registrant deregisters.

For further information, please read "Rulemaking for EDGAR System" Release 33-8590 (July 18, 2005); footnote 32 of the release identifies the EDGAR submission types that will be subject to series and class (contract) identification. See also Section 5.4.1 of the EDGAR Filer Manual Version 1 (Volume I - General Information). If you still have questions, please call IM EDGAR Inquiry Line at 202-551-6989.

IMPORTANT NOTE:

You must make sure your registrant has only one CIK. Those 1940 Act registrants for whom the Commission is requiring identifiers for their series and classes (or contracts, in the case of separate accounts) (i.e., Form N-1A, N-3, N-4 and N-6 registrants) must submit their 1940 Act filings under only one 1940 Act number (811-) and one CIK. (Registrants may have multiple 1933 Act numbers under a single CIK.)
 
If you are a 1940 Act registrant and have more than one 1940 Act number or more than one CIK, you must call the IM EDGAR Inquiry Line at 202-551-6989 for assistance.

 

http://www.sec.gov/info/edgar/ednews/seriesclassnotice.htm


Modified: 01/30/2006