17 CFR § 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.

---
identifier: "/us/cfr/t17/s274.5"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "17 CFR § 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."
title_number: 17
title_name: "Commodity and Securities Exchanges"
section_number: "274.5"
section_name: "Form N-5, for registration statement of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940."
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"
---


# 274.5 Form N-5, for registration statement of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940.

This form shall be used for the registration statement under both sections 6 and 7 of the Securities Act of 1933 (15 U.S.C. 77f, 77g) and section 8(b) of the Investment Company Act of 1940 (15 U.S.C. 80a-8(b)), by a small business investment company which is licensed as such under the Small Business Investment Act of 1958 or which has received preliminary approval of the Small Business Administration and has been notified by that Administration that it may submit a license application.

For  citations affecting Form N-5, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at