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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 email@example.com.
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