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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 requirements. Title 17 of the Code of Federal Regulations, part 270, details these regulations.

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:

  • Mutual funds file a Form N-1A
  • Closed-end funds file a form N-2.\
  •  Any separate accounts with annual contracts as a management investment company must file a Form N-3
  • Form N-4 is the registration form for any separate accounts with annual contracts as a “unit investment trust”
  • Form N-6 is the registration form for any separate accounts offering life insurance policies that have registered as a unit investment trust

For more information about mutual fund or investment company filings, please contact us at edgar@colonialfilings.com.

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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(877) 285-8605

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SEC filing

Your company’s professional image is important. We have the expertise and technology to ensure that each filing is professional and accurate.
Here's the story, we were later than I wanted to be with our second quarter 10-Q, as a matter of fact it didn't come over until late last evening. I'm having surgery on Friday (a surprise to me) and wanted to be able to review the proofs as our CEO would not really know what to look for. Colonial managed to turn it around for me today - that's one day. He didn't have to and yet he did.