Notice to Form N-1A, N-3, N-4 and N-5 Investment Company Registrants Concerning Mandatory Series and Class (Contract) Identifiers
Filers who filed their latest registration statements or amendments on Form N-1A, N-3, N-4, or N-6 (S/C Funds) are to use the series and class page on the edgarfiling website (https://www.edgarfiling.sec.gov/) to enter information for their series and classes (contracts) in order to be issued series and classes (contracts) identifiers. These filers must obtain their identifiers by February 6, 2006. Starting February 6, these filers must, for EDGAR submissions identified in the EDGAR Filer Manual, 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.
On and after February 6, 2006:
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) (http://www.sec.gov/rules/final/33-8590.pdf); 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) (http://www.sec.gov/info/edgar/edgarfm-vol1.htm) which walks you step-by-step through the process of obtaining identifiers. If you still have questions, please call the Division of Investment Management's IM EDGAR Inquiry Line at 202-551-6989.
Before you use the series and class page, 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 wishing to obtain identifiers 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 before proceeding on the series and class page.