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How do Investment Company filings differ?

April 26, 2017COMPANY differ filings Investment

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How do Investment Company filings differ?

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A new investment company must submit its “N-8A” before its initial registration statement. This submission assigns the registrant’s 1940 Act (811-) file number, which the EDGAR system “looks up” in subsequent submissions. Where appropriate, include tags with their appropriate values. Failure to include the required tags and values may result in a submission under only one Act and the need to re-submit the filing under the other Act. Usually, the file number required in an investment company submission header will not be the 1940 Act (811-) but the 1933 Act number or some other specialized number. The following submissions require the 1933 Act number (either 2-, 33-, or 333-): “485APOS,” “485BPOS,” “485BXT,” “24F-2NT,” and “N-14/A.” An “N-14/A” (a pre-effective amendment to Form N-14) always requires the 1933 Act file number assigned to the initial Form N-14 filed for the particular offering in question. Fee payment is particularly critical for “24F-2NT” submissions, which cannot