| SEC FORM TYPE |
PURPOSE |
CONTENTS |
| N-1A & N-1 |
Registration statement for open-end management investment companies:
Initial statement (Form N-1A, N-1)
Pre-effective amendments (Form N-1A, N-1) |
Form registering a new portfolio or set of portfolios. Contains general prospectus information about underlying fund(s): investment objectives/strategies/risk, fee and expenses, risk/return information, management and capital structure, shareholder information, dividends, tax considerations, distribution arrangements, financial highlights. |
| N-2 |
Registration statement for closed-end investment companies:
Initial statement (Form N-2)
Pre-effective amendments (Form N-2/A)
Post-effective amendments (Form POS AMI) |
| N-14 |
Registration statement for open-end investment company (business combinations):
Initial statement (Form N-14)
Pre-effective amendments (Form N-14/A)
Initial statement with automatic effectiveness under Rule 488 (Form N-14AE)
Pre-effective amendments (Form N-14AE/A)
|
| 485APOS |
Post-effective amendments filed pursuant to Rule 485(a)
|
Prospectus and SAI. Contains the following information: investment objectives/strategies/risks, past performance, expenses, risk/return information, management and capital structure, shareholder information, dividends, tax considerations, distribution arrangements, financial highlights, etc. |
| 485BPOS |
Post-effective amendments filed pursuant to Rule 485(b)
|
| POS AMI |
Post-effective amendments submitted under the 1940 Act only.
|
| 485BXT |
Post-effective amendments filed pursuant to Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Rule 485(a).
|
| 497 |
Definitive materials
|
| 497J |
Certification of no change in definitive materials
|
497K1
497K2
497K3A
497K3B |
Profiles for certain open-end management investment companies.
|
NSAR-A
NSAR-A/A
NSAR-AT
NSAR-AT/A
NSAR-B
NSAR-B/A
NSAR-BT
NSAR-BT/A
NSAR-U
NSAR-U/A |
Semi-annual report for management companies
Amendment to semi-annual report
Transitional semi-annual report
Amendment to transitional semi-annual report
Annual report for management company
Amendment to annual report
Transitional annual report
Amendment to transitional annual report
Annual report for unit investment trusts
Amendment to annual report
|
Form submitted to the S.E.C. by registered investment companies on a semi-annual and annual basis. Note that the data is supplied electronically and each response is tagged using numbers corresponding to the questions. |
N-30D
N-30D/A
N-30B-2
N-CSR
N-CSRS |
Annual and semi-annual reports mailed to shareholders pursuant to Rule 30d-1
Amendments
Periodic and interim reports mailed to shareholders |
Semi/Annual Reports. Management company information, performance summary, portfolio holdings, financial statements, financial highlights and notes to financial statements. |
PREM14A
PREC14A
PRES14A
PREN14A
PRE 14A |
Preliminary Proxy Soliciting Materials
Proxy statements relating to merger or acquisition
Proxy statements - contested solicitations
Proxy statements - special meetings
Non-management proxy statements not involving contested solicitations
All other preliminary proxy statements
|
Proxies. Shareholder votes or notification of fund name changes, amendments to or deletion of fundamental investment restrictions, trustee elections and compensation, ratification of auditors by the trustees, and merger and acquision information. |
PREM14C
PREC14C
PRES14C
PRE 14A |
Preliminary Information Statements
Information statements relating to merger or acquisition
Information statements - contested solicitations
Information statements - special meetings
All other preliminary information statements
|
PRER14A
PRNN14A
PRER14C |
Revised Preliminary Materials
Proxy soliciting materials
Non-management revised preliminary proxy soliciting materials for both contested solicitations and other situations
Information statements
|
DEFM14A
DEFC14A
DEFN14A
DEF 14A
DFRN14A
DEFR14A
DEFA14A
DFAN14A
DEFS14A
PX14A6G
PX14A6N |
Definitive Materials (Proxy Materials)
Proxy statement relating to merger or acquisition
Proxy statement - contested solicitations
Proxy statement filed by non-management - not in connection with contested solicitations
All other definitive proxy statements
Revised proxy statement filed by non-management
Revised proxy soliciting materials - definitive
Additional proxy soliciting materials - definitive
Additional proxy soliciting materials - definitive - filed by non-management
Definitive proxy statement - special meeting
Notice of exempt solicitation
|
DEFM14C
DEFC14C
DEF 14C
DEFA14C
DEFR14C
DEFS14C |
Definitive Materials (Information Materials)
Information statement relating to merger or acquisition
Information statement - contested solicitations
All other definitive information statements
Additional information statement materials - definitive
Revised information statement materials - definitive
Definitive information statement - special meeting
|