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.

A tumultuous year for annuities

The Fund's advisor has contractually agreed to waive its fees and/or absorb expenses of the Fund to ensure that total annual fund operating expenses (excluding taxes, leverage interest, brokerage commissions, dividend expenses on short sales, acquired fund fees and expenses as determined in accordance with Form N-1A, expenses incurred in connection with any merger or reorganization, or extraordinary expenses such as litigation) do not exceed 1.

GaveKal Knowledge Leaders Fund Outperforms Benchmark with Less Than Half the Risk in First Two Years

On July 27, 2007, the Reserve Short-Term Trust filed with the SEC a Registration Statement on Form N-1A, a Prospectus and Statement of Additional Information (collectively the "Prospectus").

Coughlin Stoia Geller Rudman & Robbins LLP Files Class Action Suit Involving Certain Mutual Funds Offered by the Reserve Short-Term Investment Trust

authorized the filing the Fund's registration statement on Form N-1A with the SEC to begin the review process to officially register the Fund as an open-end investment company (a mutual fund).

Z-Seven Fund, Inc. Declares a Dividend, Authorizes Filing of Open-End Registration Statement

The SEC is expected to issue new rules stemming from these proposals in the near future, including a revised version of Form N-1A, the document that spells out the requirements for mutual fund prospectuses.