Form N-1A

A form used to register mutual funds and other investment companies with the SEC. The form gives information about the investment company, such as its investment strategy, organization, and potential risks associated with it. An investment company is required to fill out Form N-1A unless it is an insurance company associated with a mutual fund or if it is already registered under the Small Business Administration. This form exists to promote transparency in the market. See also: Prospectus.

Form N-1A

An SEC form for the registration of mutual funds.

References in periodicals archive ?

Finally, the Commission anticipates considering in the future proposed amendments to Form N-PORT and Form N-1A related to disclosures of liquidity risk management for open-end management investment companies.

United States : SEC Votes to Modify Compliance Date for Open-End Fund Liquidity Classification

For instance, Form N-1A requires investment companies to present financial data in comparative columns "for each of the last 10 fiscal years.

Not coincidentally, the factors that Form N-1A lists as the ones boards must consider correspond with those highlighted in Gartenberg, which the Court then adopted in Jones.

See SEC, FORM N-1A, at item 3, instruction 3(e) [hereinafter FORM N-1A], available at http://www.

This Part will review the disclosures required of mutual funds on Form N-1A, the registration statement, which, in contrast to Forms N-SAR and N-Q, contains significant information about advisory fees.

To "make full disclosure and play no tricks": a proposal to enhance fee transparency after Jones v. Harris Associates

The SEC has adopted amendments to Form N-1A requiring certain key information in plain English in a standardized order at the front of each mutual fund's prospectus.

The summary prospectus must have the same information and order as the Form N-1A amendments.