17 CFR § 274.11A - Form N-1A, registration statement of open-end management investment companies.

---
identifier: "/us/cfr/t17/s274.11A"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "17 CFR § 274.11A - Form N-1A, registration statement of open-end management investment companies."
title_number: 17
title_name: "Commodity and Securities Exchanges"
section_number: "274.11A"
section_name: "Form N-1A, registration statement of open-end management investment companies."
chapter_name: "SECURITIES AND EXCHANGE COMMISSION"
part_number: "274"
part_name: "FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940"
positive_law: false
currency: "2026-04-05"
last_updated: "2026-04-05"
format_version: "1.1.0"
generator: "[email protected]"
authority: "15 U.S.C. 77f, 77g, 77h, 77j, 77s, 78c(b), 78 78m, 78n, 78n-1, 78(d), 80a-8, 80a-24, 80a-26, 80a-29, and sec. 939A, Pub. L. 111-203, 124 Stat. 1376, unless otherwise noted."
regulatory_source: "33 FR 19003, Dec. 20, 1968, unless otherwise noted."
cfr_part: "274"
---


# 274.11A Form N-1A, registration statement of open-end management investment companies.

Form N-1A shall be used as the registration statement to be filed pursuant to section 8(b) of the Investment Company Act of 1940 by open-end management investment companies other than separate accounts of insurance companies or companies which issue periodic payment plan certificates or which are sponsors or depositors of companies issuing such certificates. This form shall be used for registration under the Securities Act of 1933 of the securities of all open-end management investment companies other than registered separate accounts of insurance companies. This form is not applicable for small business investment companies which register pursuant to §§ 293.24 and 274.5 of this chapter.

[48 FR 37940, Aug. 22, 1983, as amended at 59 FR 52701, Oct. 19, 1994]

For  citations affecting Form N-1A, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at