What is Form N 14 sec?
SEC Form N-14 is also known as the “Registration Statement Under the Securities Act of 1933.” SEC Form N-14 is required in order to provide investors with the significant financial and company information they need to make an educated decision about whether or not to invest in the company.
Which of the following are not defined as securities?
Which of the following is NOT defined as a security under the Uniform Securities Act? C; Under the Act, IRAs and Keoghs are not defined as securities. Variable annuities are securities under the Act (since the purchaser bears the investment risk), as are unit investment trusts and commodity option contracts.
What is Form N CSR?
Form N-CSR is a combined reporting form that is to be used for reports of registered management investment companies under Section 30(b)(2) of the Investment Company Act of 1940 (the “Act”) and Section 13(a) or 15(d) of the Securities Exchange Act of 1934 (the “Exchange Act”), filed pursuant to Rule 30b2-1(a) under the …
Who files NPX?
registered investment companies
Currently, all registered investment companies (other than small business investment companies registered on Form N-5) must file reports on Form N-PX with the SEC, not later than August 31 of each year, containing their proxy voting records for the most recent 12-month period ended June 30.
What is SEC Form N-1A?
SEC Form N-1A is the required registration form for establishing open-end management companies. The form can be used for registering both open-end mutual funds and open-end exchange traded funds (ETFs). 1 SEC Form N-1A is a regulatory document required to form an open-ended fund manager in the U.S.
Can I send a printout of Form N-1A?
FORM N-1A This is a reference copy of Form N-1A. You may not send a completed printout of this form to the SEC to satisfy a filing obligation. You can only satisfy an SEC filing obligation by submitting the information required by this form to the SEC in electronic format online at https:// www.edgarfiling.sec.gov.
Are there any references to the Investment Company Act in N-1A?
References to sections and rules in this Form N -1A are to the Investment Company Act of 1940 [15 U.S.C. 80a-1 et seq.] (the “Investment Company Act”), unless otherwise indicated. Terms used in this Form N-1A have the same meaning as in the Investment Company Act or the related rules, unless otherwise indicated.
What is “market price” on Form N-1A?
When an item of Form N-1A specifically applies to Registrant or a Series, those terms will be used. “Market Price” has the same meaning as in rule 6c-11 [17 CFR 270.6c-11] under the Investment Company Act.