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Mutual Fund Filings

Mutual funds and other investment companies are regulated under the Investment Company Act of 1940, and have been further regulated by SEC requriements. A full list of these regulatiosn can be found in Title 17 of the Code of Federal Regulations, Part 270.

To register with the SEC as an investment company, the company must first file using the EDGAR system. The most commonly used investment company registration forms are listed below: 

  • Form N-1A: Registration form for mutual funds
  • Form N-2: Registration form for any closed-end funds 
  • Form N-3: Registration form for any separate accounts with annual contracts as a management investment comapny 
  • Form N-4: Registration form for any separate accounts with annual contracts as a "Unit Investment Trust" 
  • Form N-6: Registration form for any separate accounts offering life insuarance policies that have registered as a Unit Investment Trust

For more information about mutal fund or Investment Company filings, please contact us at 

Contact a sales representative to learn more about our Mutual Fund filing services at 877-285-8605 or by clicking above.

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Your company's professional image is important. We have the expertise and technology to ensure that each filing is professional and accurate.


I always receive excellent timely service – a great solution for frequent SEC filers
- S. Shuda, Managing Director