
North American Funds Registration Statement for Open End Form


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People also ask
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Who files form n-port?
Form N-PORT is the reporting form used for monthly reports of registered management funds other than money market funds, and exchange-traded funds organized as unit investment trusts.
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What is required on a registration statement?
It must have a public float of at least $75 million. It must have filed all necessary reports under the Securities Exchange Act of 1933 (such as Form 10-K and Form 10-Q) at least a year before filing S-3. It must not be a shell company. It must be fully compliant with state and federal regulations.
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What is a mutual fund registration statement?
A registration statement is a filing with the SEC making required disclosures in connection with the registration of a security, a securities offering or an investment company under federal securities laws.
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Are closed end funds exempt from registration?
Closed-end funds are registered with the SEC and subject to SEC regulation. In addition, the investment portfolios of closed-end funds typically are managed by separate entities know as investment advisers that are also registered with the SEC.
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Who is required to file form n-port?
Form N-PORT is to be used by a registered management investment company, or an exchange-traded fund organized as a unit investment trust, or series thereof (“Fund”), other than a Fund that is regulated as a money market fund (“money market fund”) under rule 2a-7 under the Investment Company Act of 1940 [15 U.S.C.
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What is form n rn?
CURRENT REPORT FOR REGISTERED MANAGEMENT INVESTMENT. COMPANIES AND BUSINESS DEVELOPMENT COMPANIES. Form N-RN is to be used by a registered open-end management investment company or. series thereof, but not including a fund that is regulated as a money market fund under rule 2a-7.
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Who is required to file with the SEC?
Publicly traded companies and other entities are required by the SEC — or Securities and Exchange Commission — to file certain disclosure forms. These different types of SEC filings not only ensure regulatory compliance, but they also provide need-to-know information to the public.
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Who is required to file Form N PX?
While Form N-PX has historically applied only to registered management investment companies per the Investment Company Act of 1940 (Investment Company Act), the form is now also applicable to persons required to file reports under Rule 13f-1 per the Securities Exchange Act of 1934 (Exchange Act).
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