Form N-1

What is it: Form N-1 is filed by certain open-end management investment companies to register securities (mainly mutual fund). The form is required to be prepared in concise, straightforward, easy to understand language, and promote effective communication with prospective investors. The prospectus should clearly disclose the fundamental characteristics including but not limited to investment risk/return, management, purchase and sale, tax, and distribution arrangement of the Fund.

Filing Time:

Related Form(s):
Form 485APOS: Post-effective amendment to Form N-1 to register additional securities pursuant to Rule 485(a).
Form 485BPOS: Post-effective amendment to Form N-1 to register additional securities pursuant to Rule 485(b).
Form N-2: Similar to N-1 but for registering securities by close-end investment company.
Form 486BPOS: Post-effective amendment to Form N-2.
Form N-2MEF: Registration of additional securities for a Form N-2 offering.
Form N-23C-2: Notice by closed-end investment companies of intention to call or redeem their own securities.
Form N-23C3A: Notification of periodic repurchase offer by closed-end investment companies.
Form N-23C3B: Form N-23C3C: Form N-3: Similar to N-1 but for registering securities by insurance company separate accounts offering variable annuity contracts registered as management investment companies.
Form N-4: Similar to N-1 but for registering securities by insurance company separate accounts offering variable annuity contracts registered as unit investment trusts.
Form N-6: Similar to N-1 but for registering variable life insurance contracts by all separate accounts registered as unit investment trusts.

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