Regulations last checked for updates: May 16, 2024
Title 17 - Commodity and Securities Exchanges last revised: May 01, 2024
§ 274.101 - Form N-CEN, annual report of registered investment companies.
This form shall be used by registered investment companies for annual reports to be filed pursuant to 17 CFR 270.30a-1.
[81 FR 82023, Nov. 18, 2016]
Editorial Note:For Federal Register citations affecting Form N-CEN, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
Editorial Note:For Federal Register citations affecting Form N-SAR, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
§§ 274.102-274.126 - §[Reserved]
§ 274.127d-1 - Form N-27D-1 accounting of segregated trust account.
This form shall be completed and filed with the Commission as a report required by § 270.27d-1 of this chapter by each depositor or principal underwriter, within 15 days after the close of each quarter during the first 2 years after the effective date of § 270.27d-1 of this chapter, and thereafter this form shall be filed annually on or before January 31 of the following calendar year. Each investment company for which a segregated trust account is established shall be listed on the cover page. Two copies of the form, plus an additional copy for each registered investment company covered, shall be filed and the filing shall be signed by an authorized representative of the depositor or underwriter.
[36 FR 24056, Dec. 18, 1971]
Editorial Note:For Federal Register citations affecting Form N-27D-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
§ 274.128 - Form N-CSR, certified shareholder report.
This form shall be used by registered management investment companies to file reports pursuant to § 270.30b2-1(a) of this chapter not later than 10 days after the transmission to stockholders of any report that is required to be transmitted to stockholders under § 270.30e-1 of this chapter.
[68 FR 5368, Feb. 3, 2003]
Editorial Note:For Federal Register citations affecting Form N-CSR, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
§ 274.129 - Form N-PX, annual report of proxy voting record of registered management investment company.
Link to an amendment published at 87 FR 78811, Dec. 22, 2022.
This form shall be used by registered management investment companies, other than small business investment companies registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), for annual reports to be filed not later than August 31 of each year, containing the company's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and § 270.30b1-4 of this chapter.
[68 FR 6584, Feb. 7, 2003]
Editorial Note:For Federal Register citations affecting Form N-PX, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
§ 274.130 - [Reserved]
§ 274.150 - Form N-PORT, Monthly portfolio holdings report.
(a) Except as provided in paragraph (b) of this section, this form shall be used by registered management investment companies or exchange-traded funds organized as unit investment trusts, or series thereof, to file reports pursuant to § 270.30b1-9 of this chapter not later than 60 days after the end of each fiscal quarter.
(b) Form N-PORT shall not be filed by a registered open-end management investment company that is regulated as a money market fund under § 270.2a-7 of this chapter or a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), or series thereof.
Note:
The text of Form N-PORT will not appear in the Code of Federal Regulations.
[84 FR 7988, Mar. 6, 2019]
Editorial Note:For Federal Register citations affecting Form N-PORT, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
§ 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 of this chapter.
This form shall be filed pursuant to Rule 17d-2 (§ 270.17d-2 of this chapter) as the report required, under subparagraph (d)(3) of Rule 17d-1 (§ 270.17d-1(d)(3) of this chapter), to be filed, either jointly or separately, by a small business investment company (SBIC) licensed as such under the Small Business Investment Act of 1958, and by a bank which is an affiliated person of either the SBIC or of an affiliated person of the SBIC, with respect to investments in a small business concern by the SBIC and the bank.
Editorial Note:For Federal Register citations affecting Form N-17D-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.
source: 33 FR 19003, Dec. 20, 1968, unless otherwise noted.
cite as: 17 CFR 274.128