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The Commission adopted a new version of Form N4, effective July 1, 2020 (see https://www.sec.gov/forms). This document is a prior version of Form N4, which does not include the amendments that the

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How to fill out form n-4 registration statement

01

To fill out Form N-4 registration statement, follow these steps:

02

Start by entering the name of the fund at the top of the form.

03

Provide information about the applicant, including their name, address, and contact details.

04

Indicate the type of organization or entity that is filing the form.

05

Enter the fund's fiscal year-end date.

06

Provide details about the fund's investment objectives, strategies, and policies.

07

Disclose information about the fund's fees and expenses.

08

Enter the names and addresses of the fund's directors and officers.

09

Provide information about the fund's custodian, transfer agent, and other service providers.

10

Disclose any potential conflicts of interest.

11

Sign and date the form to certify the accuracy of the information provided.

Who needs form n-4 registration statement?

01

Form N-4 registration statement is required by investment companies that are offering their securities to the public. This includes mutual funds, closed-end funds, unit investment trusts, and other similar investment vehicles. It is filed with the Securities and Exchange Commission (SEC) to register the securities being offered and provide essential information to investors.

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What is form n-4 registration statement?

Form N-4 is a registration statement used by unit investment trusts and certain registered investment companies to register under the Securities Act of 1933.

Who is required to file form n-4 registration statement?

Investment companies that offer variable annuity contracts and variable life insurance policies are required to file Form N-4.

How to fill out form n-4 registration statement?

To fill out Form N-4, companies must provide information about the investment company, including details about its financial statements, fees, and investment objectives.

What is the purpose of form n-4 registration statement?

The purpose of Form N-4 is to register investment products offered to consumers and to provide necessary financial and operational information to the SEC and investors.

What information must be reported on form n-4 registration statement?

Form N-4 requires companies to report detailed information such as the investment company's structure, fees, performance data, risk factors, and policies on distribution.

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