Group Descriptions
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INVESTORS
Investment Company Filing
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| Type: | 24-2NT |
|---|---|
| Description: | Rule 24F-2 notice. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | 24-2NT/A |
| Description: | Rule 24F-2 notice, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | 24F-2NT |
| Description: | Annual Notice of Securities sold pursuant to Rule 24f-2. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | 24F-2NT/A |
| Description: | Annual Notice of Securities sold pursuant to Rule 24f-2, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | 40-17F1 |
| Description: | Certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-1, initial filing. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | 40-17F1/A |
| Description: | Certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-1, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | 40-17F2/A |
| Description: | Certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | 40-6C |
| Description: | Application for exemptive or other relief filed under section 6(c) of the Investment Company Act of 1940. |
| Filing Deadline: | None |
| Relevant Legislation: | Section 6(c) of the Investment Company Act of 1940. |
| Type: | 40-6C/A |
| Description: | Amendment to an application for exemptive or other relief filed under section 6(c) of the Investment Company Act of 1940. |
| Filing Deadline: | None |
| Relevant Legislation: | Section 6(c) of the Investment Company Act of 1940. |
| Type: | 40-8B25 |
| Description: | Filing by investment company of application requesting extension of time for filing certain information, document or report. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | 40-8F-2 |
| Description: | Application for deregistration Pursuant to Rule 0-2, initial application. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | 40-8F-2/A |
| Description: | Application for deregistration Pursuant to Rule 0-2, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | 40-8F-A |
| Description: | Application for deregistration under paragraph (c) of Instruction 1 of Form N-8F (Abandonment of Registration), initial application. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | 40-8F-A/A |
| Description: | Amendment to application for deregistration under paragraph (c) of Instruction 1 of Form N-8F (Abandonment of Registration), |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | 40-8F-B |
| Description: | Application for deregistration under paragraph (d) of Instruction 1 of Form N-8F (Business Development Company), initial application. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | 40-8F-B/A |
| Description: | Application for deregistration under paragraph (d) of Instruction 1 of Form N-8F (Business Development Company), amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | 40-8F-L |
| Description: | Application for deregistration under paragraph (b) of Instruction 1 of Form N-8F (Liquidation). |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | 40-8F-L/A |
| Description: | Application for deregistration under paragraph (b) of Instruction 1 of Form N-8F (Liquidation), amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | 40-8F-M |
| Description: | Application for deregistration under paragraph (a) of Instruction 1 of Form N-8F (Merger). |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | 40-8F-M/A |
| Description: | Application for deregistration under paragraph (a) of Instruction 1 of Form N-8F (Merger), amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | 400-8F-A/A |
| Description: | Application for deregistration under paragraph (c) of Instruction 1 of Form N-8F (Abandonment of Registration), amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | 486APOS |
| Description: | Post-effective amendment to a registration statement for a closed-end investment company, filed pursuant to Rule 486(a). |
| Filing Deadline: | |
| Relevant Legislation: | The Investment Company Act of 1940 and the Securities Act of 1933 |
| Type: | 486BPOS |
| Description: | Post-effective amendment to a registration statement for a closed-end investment company, filed pursuant to Rule 486(b). |
| Filing Deadline: | |
| Relevant Legislation: | The Securities Act of 1933 and the Investment Company Act of 1940. |
| Type: | 497AD |
| Description: | Filing by certain investment companies of rule 482 advertising in accordance with rule 497 and the note to rule 482(e) |
| Filing Deadline: | |
| Relevant Legislation: | Rule 497 Note to rule 482(e) |
| Type: | 497H2 |
| Description: | Definitive materials filed pursuant to Rule 497(h)2 for closed-end investment companies. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 and Securities Act of 1933 |
| Type: | 497K1 |
| Description: | Profiles for certain open-end management investment companies, filed pursuant to Rule 497(k)(1)(i). |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | 497K2 |
| Description: | Profiles for certain open-end management investment companies, filed pursuant to Rule 497(k)(1)(ii) |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | 497K3A |
| Description: | Profiles for certain open-end management investment companies, filed pursuant to Rule 497(k)(1)(iii)(A). |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | 497K3B |
| Description: | Profiles for certain open-end management investment companies, filed pursuant to Rule 497(k)(1)(iii)(B). |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | ADV (Part 1) |
| Description: | Form ADV is the uniform form used by investment advisers to register with both the Securities and Exchange Commission (SEC) and state securities authorities. Part 1 contains information about the filer's business, ownership, clients, employees, business practices, affiliations, and any disciplinary events of the adviser or its employees. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | ADV Brochure |
| Description: | Narrative brochures written in plain English that contain information such as the types of advisory services offered, the adviser's fee schedule, disciplinary information, conflicts of interest, and the educational and business background of management and key advisory personnel of the adviser. The brochure is the primary disclosure document that investment advisers provide to their clients. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-1 |
| Description: | Registration statement for open-end management investment companies, initial statement. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-1/A |
| Description: | Registration statement for open-end management investment companies, amendent. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | N-14 |
| Description: | Registration statement for open-end investment company (business combinations), initial statement. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-14 8C |
| Description: | Registration statement for closed-end investment company (business combinations), initial statement. |
| Filing Deadline: | No filing deadline |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-14 8C/A |
| Description: | Registration statement for closed-end investment company (business combinations), amendment |
| Filing Deadline: | No filing deadline |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-14/A |
| Description: | Registration statement for open-end investment company (business combinations), amendment |
| Filing Deadline: | No filing deadline |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-14AE |
| Description: | Registration statement for open-end investment company (business combinations), initial statement with automatic effectiveness under Rule 488. |
| Filing Deadline: | No filing deadline |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-14AE/A |
| Description: | Registration statement for open-end investment company (business combinations), initial statement with automatic effectiveness under Rule 488, amendment. |
| Filing Deadline: | No filing deadline |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-14MEF |
| Description: | Registration pursuant to Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was originally registered on Form N-14 |
| Filing Deadline: | No filing deadline |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-18F1 |
| Description: | Notification of election pursuant to Rule 18f-1, initial filing. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-18F1/A |
| Description: | Notification of election pursuant to Rule 18f-1, amendment |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-1A |
| Description: | Registration statement for open-end management investment companies, initial statement. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-1A EL |
| Description: | Registration Statement: Used for open-end management investment companies (mutual funds) to register and offer securities. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-1A/A |
| Description: | Registration statement for open-end management investment companies, amendent. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-2 |
| Description: | Registration Statement: Used for closed-end investment companies, except small business investment companies. Can be used for initial registration or to file amendments, or to offer shares under the 1933 Act or to register under the Investment Company Act, or both. The purpose of the prospectus is to provide information to potential investors so that they may make an informed decision whether to purchase the securities being offered. The SEC may use also use this for regulatory purposes, disclosure review, inspection, and policy-making purposes. |
| Filing Deadline: | Annual amendments are required under the Investment Company Act of 1940 unless the information is provided to shareholders in the annual report required by the Securities Exchange Act of 1934. |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-2/A |
| Description: | Amendment to Registration Statement: closed-end investment companies. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-23C-1 |
| Description: | Reports by closed-end investment companies of purchase of their own securities, initial filing. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-23C-1/A |
| Description: | Reports by closed-end investment companies of purchase of their own securities, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-23C-2 |
| Description: | Notice by closed-end investment companies of intention to call or redeem their own securities, initial filing. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-23C-2/A |
| Description: | Notice by closed-end investment companies of intention to call or redeem their own securities, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-23C3A |
| Description: | Notification of periodic repurchase offer: filed pursuant to Rule 23c-3(b) only, initial filing. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-23C3A/A |
| Description: | Notification of periodic repurchase offer: filed pursuant to Rule 23c-3(b) only, amendment |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-23C3B |
| Description: | Notification of periodic repurchase offer: filed pursuant to Rule 23c-3(c) only, initial filing |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-23C3B/A |
| Description: | Notification of periodic repurchase offer: filed pursuant to Rule 23c-3(c) only, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-23C3C |
| Description: | Notification of periodic repurchase offer: filed pursuant to Rule 23c-3(b) and (c), initial filing. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-23C3C/A |
| Description: | Notification of periodic repurchase offer: filed pursuant to Rule 23c-3(b) and (c), amendment |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-27D-1 |
| Description: | Accounting for segregated trust accounts, initial filing. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-27D-1/A |
| Description: | Accounting for segregated trust accounts, amendment |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-2MEF |
| Description: | Registration pursuant to Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was originally registered on Form N-2 |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-3 |
| Description: | Registration Statement: Separate accounts (management investment companies.) Form is used to register insurance company separate accounts organized as management investment companies offering variable annuity contracts. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company act of 1940 |
| Type: | N-3/A |
| Description: | Registration statement for separate accounts (management investment companies), amendment |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-30B-2 |
| Description: | Periodic and interim reports by investment companies mailed to shareholders (other than annual and semi-annual reports mailed to shareholders pursuant to Rule 30e-1). |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-30D |
| Description: | Annual and semi-annual reports by investment companies mailed to shareholders pursuant to Rule 30e-1 |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-30D/A |
| Description: | Annual and semi-annual reports by investment companies mailed to shareholders pursuant to Rule 30e-1, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-4 |
| Description: | Registration Statement: Separate accounts (unit investment trusts.) Form is used to register insurance company separate accounts organized as unit investment trusts offering variable annuity contracts. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-4/A |
| Description: | Registration statement for separate accounts (unit investment trusts), amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-5 |
| Description: | Registration statement for small business investment companies, initial statement |
| Filing Deadline: | no filing deadline |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-5/A |
| Description: | Registration statement for small business investment companies, amendment |
| Filing Deadline: | no filing deadline |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-54/A |
| Description: | Notification of election by business development companies, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | N-54A |
| Description: | Notification of election by business development companies to be subject to certain provisions of the Investment Company Act of 1940. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-54A/A |
| Description: | Amended notification of election by business development companies to be subject to certain provisions of the Investment Company Act of 1940. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-54C |
| Description: | Notification of withdrawal by business development companies |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-54C/A |
| Description: | Notification of withdrawal by business development companies, amendment |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | N-6 |
| Description: | Registration Statement: Unit investment trusts |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | N-6/A |
| Description: | Amendment to Registration Statement: Separate accounts (unit investment trusts) |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company act of 1940 |
| Type: | N-6F |
| Description: | Notice of intent by business development companies electing to be subject to certain provisions of the Investment Company Act of 1940, initial filing. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-6F/A |
| Description: | Notice of intent by business development companies electing to be subject to Sections 55 through 65 of the 1940 Act, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | N-8A |
| Description: | Registration Statement: Used by closed-end investment companies as a notification of registration under section 8(a). |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-8A/A |
| Description: | Notification of registration under section 8(a), amendment |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940. |
| Type: | N-8B-2 |
| Description: | Registration statement for unit investment trusts, initial filing |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-8B-2/A |
| Description: | Registration statement for unit investment trusts, amendment |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-8B-3 |
| Description: | Registration statement for periodic payment Plans, initial filing. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-8B-3/A |
| Description: | Registration statement for periodic payment Plans, amendment |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-8B-4 |
| Description: | Registration statement for face-amount certificate companies, initial |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-8B-4/A |
| Description: | Registration statement for face-amount certificate companies, amendment |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-CSR |
| Description: | Certified annual shareholder report of registered management investment companies |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-CSR/A |
| Description: | Amended certified annual shareholder report of registered management investment companies |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-CSRS |
| Description: | Certified semi-annual shareholder report of registered management investment companies |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-Q |
| Description: | Quarterly schedule of portfolio holdings of registered management investment company. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | N-Q/A |
| Description: | Amended quarterly schedule of portfolio holdings of registered management investment company. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | NSAR-A |
| Description: | A report filed by registered investment companies on a semi-annual and annual basis, at the end of the corresponding fiscal periods. The form contains information about the type of fund that is reporting sales charges, 12b-1 fees, sales of shares, identity of various entities providing services to investment company, portfolio turnover rate and selected financial information. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | NSAR-A/A |
| Description: | Semi-annual report for management companies, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | NSAR-AT |
| Description: | Semi-annual report for management companies, transitional |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | NSAR-AT/A |
| Description: | Amendments to transitional semi-annual report. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | NSAR-B |
| Description: | Annual report for management companies. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | NSAR-B/A |
| Description: | Annual report for management companies, amendment |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | NSAR-BT |
| Description: | Annual report for management companies, transitional period. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | NSAR-BT/A |
| Description: | Amendments to transitional annual report. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | NSAR-U |
| Description: | Periodic Reports for Registered Investment Companies: Annual report for unit investment trusts. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | NSAR-U/A |
| Description: | Amendments to annual report for unit investment trusts. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |
| Type: | POS 8C |
| Description: | Post-effective amendments filed by certain investment companies pursuant to Section 8(c) of the 1933 Act (this filing cannot be submitted as a 1940 Act only filing). |
| Filing Deadline: | |
| Relevant Legislation: | Securities Act of 1933 and Investment Company Act of 1940. |
| Type: | POS AMI |
| Description: | Post-effective amendment submitted under the 1940 Act only. |
| Filing Deadline: | |
| Relevant Legislation: | Investment Company Act of 1940 |