Part 274 — Forms Prescribed Under the Investment Company Act of 1940

• § 274.0-1— Availability of forms.

Subpart A — Registration Statements

• § 274.5— Form N-5, for registration statement of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940.
• § 274.10— Form N-8A, for notification of registration.
• § 274.11A— Form N-1A, registration statement of open-end management investment companies.
• § 274.11a-1— Form N-2, registration statement of closed end management investment companies.
• § 274.11b— Form N-3, registration statement of separate accounts organized as management investment companies.
• § 274.11c— Form N-4, registration statement of separate accounts organized as unit investment trusts.
• § 274.11d— Form N-6, registration statement of separate accounts organized as unit investment trusts that offer variable life insurance policies.
• § 274.12— Form N-8B-2, registration statement of unit investment trusts that are currently issuing securities.
• § 274.13— Form N-8B-3, registration statement of unincorporated management investment companies currently issuing periodic payment plan certificates.
• § 274.14— Form N-8B-4, registration statements of face-amount certificate companies.
• § 274.15— Form N-6F, notice of intent to elect to be subject to sections 55 through 65 of the Investment Company Act of 1940.
• § 274.24— Form 24F-2, annual filing of securities sold pursuant to registration of certain investment company securities and registered non-variable annuities.
• § 274.51— Form N-18F-1, for notification of election pursuant to § 270.18f-1 of this chapter.
• § 274.53— Form N-54A, notification of election to be subject to sections 55 through 65 of the Investment Company Act of 1940 filed pursuant to section 54(a) of the Act.
• § 274.54— Form N-54C, notification of withdrawal of election to be subject to sections 55 through 65 of the Investment Company Act of 1940 filed pursuant to section 54(c) of the Investment Company Act of 1940.

Subpart B — Forms for Reports

• § 274.101— Form N-CEN, annual report of registered investment companies.
• § 274.127d-1— Form N-27D-1 accounting of segregated trust account.
• § 274.128— Form N-CSR, certified shareholder report.
• § 274.129— Form N-PX, annual report of proxy voting record.
• § 274.150— Form N-PORT, Monthly portfolio holdings report.
• § 274.200— Form N-17D-1, report filed by small business investment company (SBIC) registered under the Investment Company Act of 1940 and an affiliated bank, with respect to investments by the SBIC and the bank, submitted pursuant to paragraph (d)(3) of § 270.17d-1 of this chapter.

Subpart C — Forms for Other Statements

• § 274.201— Form N-MFP, portfolio holdings of money market funds.
• § 274.202— Form 3, initial statement of beneficial ownership of securities.
• § 274.203— Form 4, statement of changes in beneficial ownership of securities.
• § 274.218— Form N-8F, application for deregistration of certain registered investment companies.
• § 274.221— Form N-23c-3, Notification of repurchase offer.
• § 274.222— Form N-CR, Current report of money market fund material events.
• § 274.223— Form N-RN, Current report, open- and closed-end investment company reporting.

Subpart D — Forms for Exemptions

• § 274.301— Notification of claim of exemption pursuant to Rule 6e-2 or Rule 6e-3(T) under the Investment Company Act.

Subpart E — Forms for Electronic Filing

• § 274.402— Form ID, uniform application for access codes to file on EDGAR.
• § 274.403— Form SE, form for submission of paper format exhibits by electronic filers.
• § 274.404— Form TH—Notification of reliance on temporary hardship exemption.