This page provides links to PDF versions of SEC public forms and many of the rules, regulations, and schedules associated with these forms. To find a form, either select the appropriate category below or scroll through the full list of SEC forms in alphanumeric order. Please note that you will need Adobe Reader plug-in to view these forms (available for free from Adobe through our About Adobe Acrobat (PDF) page).

Number
Description
Last Updated
SEC Number
Topic(s)
Number:1-E Description: Notification under Regulation E (PDF)
Last Updated: SEC Number:SEC1807 Topic(s):Investment Company Act of 1940, Small Businesses, Investment Companies
Number:2-E Description: Report of sales pursuant to Rule 609 of Regulation E (PDF)
Last Updated: SEC Number:SEC1808 Topic(s):Investment Company Act of 1940, Small Businesses, Investment Companies
Number:24F-2 Description: Annual notice of securities sold pursuant to Rule 24-f2 (PDF)
Last Updated: SEC Number:SEC2393 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-14 Description: Form for the registration of securities issued in business combination transactions by investment companies and business development companies - Informational Version Indicating Recent Amendments (PDF)
Last Updated: SEC Number:

SEC2106

Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-17D-1 Description: Report filed by small business investment company (SBIC) (PDF)
Last Updated: SEC Number:SEC1839 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-17f-1 Description: Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securities exchanges (PDF)
Last Updated: SEC Number:SEC2205 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-17f-2 Description: Certificate of accounting of securities and similar investments in the custody of management investment companies (PDF)
Last Updated: SEC Number:SEC2198 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-18f-1 Description: Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940 (PDF)
Last Updated: SEC Number:SEC1846 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-1A Description: Registration form for open-end management investment companies (PDF)
Last Updated: SEC Number:

SEC2052

Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-2 Description: Registration statement for closed-end management investment companies - Informational Version Indicating Recent Amendments (PDF)
Last Updated: SEC Number:

SEC1716

Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-23c-3 Description: Notification of repurchase offer (PDF)
Last Updated: SEC Number:SEC2380 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-27D-1 Description: Accounting of Segregated Trust Account (PDF)
Last Updated: SEC Number:

SEC1840

Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-3 Description: Registration statement of separate accounts organized as management investment companies - Informational Version Indicating Recent Amendments (PDF)
Last Updated: SEC Number:

SEC2124

Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-3 Description: Registration statement of separate accounts organized as management investment companies - Prior Version (PDF)
Last Updated: SEC Number:

SEC2124

Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-4 Description: Registration statement of separate accounts organized as unit investment trusts (PDF)
Last Updated: SEC Number:

SEC2125

Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-4 Description: Registration statement of separate accounts organized as unit investment trusts - Prior Version (PDF)
Last Updated: SEC Number:

SEC2125

Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-5 Description: Registration statement of small business investment company (PDF)
Last Updated: SEC Number:

SEC993

Topic(s):Investment Company Act of 1940, Small Businesses, Investment Companies
Number:N-54A Description: Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
Last Updated: SEC Number:SEC1937 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-54C Description: Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
Last Updated: SEC Number:SEC1938 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-6 Description: Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies - Informational Version Indicating Recent Amendments (PDF)
Last Updated: SEC Number:

SEC2567

Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-6 Description: Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies – Prior Version (PDF)
Last Updated: SEC Number:

SEC2567

Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-6EI-1 Description: Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940 (PDF)
Last Updated: SEC Number:SEC1130 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-6F Description: Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
Last Updated: SEC Number:SEC1936 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-8A Description: Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 (PDF)
Last Updated: SEC Number:

SEC1102

Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-8B-2 Description: Registration statement of unit investment trusts which are currently issuing securities (PDF)
Last Updated: SEC Number:

SEC977

Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-8B-4 Description: Registration statement of face-amount certificate companies (PDF)
Last Updated: SEC Number:SEC1285 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-8F Description: Application for deregistration of certain registered investment companies (PDF)
Last Updated: SEC Number:SEC1691 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-CEN Description: Annual Report for Registered Investment Companies (PDF)
Last Updated: SEC Number:

SEC 2846

Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-CR Description: Current Report, Money Market Fund Material Events (PDF)
Last Updated: SEC Number:

SEC2918

Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-CSR Description: Certified shareholder report of registered management investment companies (PDF)
Last Updated: SEC Number:

SEC2569

Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-LIQUID Description: Current Report Open-End Management Investment Company Liquidity (PDF)
Last Updated: SEC Number:

SEC 2941

Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-MFP Description: Monthly Schedule of Portfolio Holdings of Money Market Funds (PDF)
Last Updated: SEC Number:SEC2847 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-PORT Description: Monthly Portfolio Investments Report (PDF)
Last Updated: SEC Number:

SEC 2940

Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-PX Description: Annual Report of Proxy Voting Record of Registered Management Investment Company (PDF)
Last Updated: SEC Number:SEC2451 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-Q Description: Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (PDF)
Last Updated: SEC Number:

SEC2455

Topic(s):Investment Company Act of 1940, Investment Companies