1-E
Notification under Regulation E (PDF)
Aug. 2001
SEC1807
Investment Company Act of 1940, Small Businesses, Investment Companies
2-E
Report of sales pursuant to Rule 609 of Regulation E (PDF)
Feb. 2024
SEC1808
Investment Company Act of 1940, Small Businesses, Investment Companies
24F-2
Annual notice of securities sold pursuant to Rule 24-f2 (PDF)
Jan. 2022
SEC2393
Investment Company Act of 1940, Investment Companies
24F-2
Annual notice of securities sold pursuant to Rule 24-f2 (with amendments adopted in 2024 RILAs release) (PDF)
Sept. 2024
SEC2393
Investment Company Act of 1940, Investment Companies
N-14
Form for the registration of securities issued in business combination transactions by investment companies and business development companies (PDF)
July 2023
SEC2106
Investment Company Act of 1940, Investment Companies
N-17D-1
Report filed by small business investment company (SBIC) (PDF)
Aug. 2005
SEC1839
Investment Company Act of 1940, Investment Companies
N-17f-1
Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securities exchanges (PDF)
Feb. 2024
SEC2205
Investment Company Act of 1940, Investment Companies
N-17f-2
Certificate of accounting of securities and similar investments in the custody of management investment companies (PDF)
Jan. 2024
SEC2198
Investment Company Act of 1940, Investment Companies
N-18f-1
Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940 (PDF)
Jan. 2012
SEC1846
Investment Company Act of 1940, Investment Companies
N-1A
Registration form for open-end management investment companies (PDF)
Aug. 2024
SEC2052
Investment Company Act of 1940, Investment Companies
N-2
Registration statement for closed-end management investment companies (PDF)
July 2024
SEC1716
Investment Company Act of 1940, Investment Companies
N-23c-3
Notification of repurchase offer (PDF)
Oct. 2003
SEC2380
Investment Company Act of 1940, Investment Companies
N-27D-1
Accounting of Segregated Trust Account (PDF)
April 2014
SEC1840
Investment Company Act of 1940, Investment Companies
N-3
Registration statement of separate accounts organized as management investment companies (PDF)
Sept. 2024
SEC2124
Investment Company Act of 1940, Investment Companies
N-4
Registration statement of separate accounts organized as unit investment trusts (PDF)
Jan. 2022
SEC2125
Investment Company Act of 1940, Investment Companies
N-4
Registration statement of separate accounts organized as unit investment trusts (with amendments adopted in 2024 RILAs release) (PDF)
Sept. 2024
SEC2125
Investment Company Act of 1940, Investment Companies
N-5
Registration statement of small business investment company (PDF)
April 2022
SEC993
Investment Company Act of 1940, Small Businesses, Investment Companies
N-54A
Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
Oct. 2003
SEC1937
Investment Company Act of 1940, Investment Companies
N-54C
Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
Jan. 2024
SEC1938
Investment Company Act of 1940, Investment Companies
N-6
Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies (PDF)
Sept. 2024
SEC2567
Investment Company Act of 1940, Investment Companies
N-6EI-1
Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940 (PDF)
March 2003
SEC1130
Investment Company Act of 1940, Investment Companies
N-6F
Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
March 2001
SEC1936
Investment Company Act of 1940, Investment Companies
N-8A
Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 (PDF)
Dec. 2001
SEC1102
Investment Company Act of 1940, Investment Companies
N-8B-2
Registration statement of unit investment trusts which are currently issuing securities (PDF)
Jan. 2024
SEC977
Investment Company Act of 1940, Investment Companies
N-8B-4
Registration statement of face-amount certificate companies (PDF)
Nov. 2005
SEC1285
Investment Company Act of 1940, Investment Companies