CFR > Title 17 - Commodity and Securities Exchanges > CHAPTER II—SECURITIES AND EXCHANGE COMMISSION > PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 > SUBPART A—Forms for Registration Statements (§239.4-239.10 to §239.65) > 239.15—Form N-1 for open-end management investment companies registered on Form N-8A.

239.15—Form N-1 for open-end management investment companies registered on Form N-8A.

Form N-1 shall be used for the registration under the Securities Act of 1933 of securities of all open-end management investment companies that are separate accounts of insurance companies as defined by section 2(a)(37) of the Investment Company Act of 1940 registered under the Investment Company Act of 1940 on form N-8A ( § 274.10 of this chapter ). This form is also to be used for the registration statement of such companies pursuant to section 8(b) of the Investment Company Act of 1940 ( § 274.11 of this chapter ). This form is not applicable for small business investment companies which register pursuant to § 239.24 and § 274.5 of this chapter.

Code of Federal Regulations

(Sec. 19, Securities Act of 1933 ( 15 U.S.C. 77s ; secs. 8 and 38, Investment Company Act of 1940 ( 15 U.S.C. 80a-8 and 80a-37 )))

Code of Federal Regulations

[49 FR 32060, Aug. 10, 1984]

Code of Federal Regulations

Editorial Note: For Federal Register citations affecting Form N-1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.