--- kind: "section" citation: "17 C.F.R. § 232.313" title: "17" number: "232.313" heading: "Identification of investment company type and series and/or class (or contract)." url: "https://uscodex.org/cfr/17/232.313" --- # §232.313. Identification of investment company type and series and/or class (or contract). - (a) Registered investment companies, business development companies, and offerings of registered non-variable annuities must indicate their investment company type, based on whether the registrant's last effective registration statement or amendment (other than a merger/proxy filing on Form N-14 ([§ 239.23](/cfr/17/239.23.md) of this chapter) was filed on Form N-1 (§§ [239.15](/cfr/17/239.15.md) and [274.11](/cfr/17/274.11.md) of this chapter), Form N-1A (§§ [239.15A](/cfr/17/239.15A.md) and [274.11A](/cfr/17/274.11A.md) of this chapter), Form N-2 (§§ [239.14](/cfr/17/239.14.md) and [274.11a-1](/cfr/17/274.11a-1.md) of this chapter), Form N-3 (§§ [239.17A](/cfr/17/239.17A.md) and [274.11b](/cfr/17/274.11b.md) of this chapter), Form N-4 (§§ [239.17b](/cfr/17/239.17b.md) and [274.11c](/cfr/17/274.11c.md) of this chapter), Form N-5 (§§ [239.24](/cfr/17/239.24.md) and [274.5](/cfr/17/274.5.md) of this chapter), Form N-6 (§§ [239.17c](/cfr/17/239.17c.md) and [274.11d](/cfr/17/274.11d.md) of this chapter), Form S-1 ([§ 239.11](/cfr/17/239.11.md) of this chapter), Form S-3 ([§ 239.13](/cfr/17/239.13.md) of this chapter), or Form S-6 ([§ 239.16](/cfr/17/239.16.md) of this chapter) in those EDGAR submissions identified in the EDGAR Filer Manual. - (b) Registered investment companies or offerings of registered non-variable annuities whose last effective registration statement or amendment (other than a merger/proxy filing on Form N-14 ([§ 239.23](/cfr/17/239.23.md) of this chapter) was filed on Form N-1A (§§ [239.15A](/cfr/17/239.15A.md) and [274.11A](/cfr/17/274.11A.md) of this chapter), Form N-3 (§§ [239.17A](/cfr/17/239.17A.md) and [274.11b](/cfr/17/274.11b.md) of this chapter), Form N-4 (§§ [239.17b](/cfr/17/239.17b.md) and [274.11c](/cfr/17/274.11c.md) of this chapter), or Form N-6 (§§ [239.17c](/cfr/17/239.17c.md) and [274.11d](/cfr/17/274.11d.md) of this chapter) must, under the procedures set forth in the EDGAR Filer Manual: - (1) Provide electronically, and keep current, information concerning their existing and new series and/or classes (or contracts, in the case of separate accounts), including series and/or class (contract) name and ticker symbol, if any, and be issued series and/or class (or contract) identification numbers; - (2) Deactivate for EDGAR purposes any series and/or class (or contract, in the case of separate accounts) that are no longer offered, go out of existence, or deregister following the last filing for that series and/or class (or contract, in the case of separate accounts), but the registrant must not deactivate the last remaining series unless the registrant deregisters; and - (3) For those EDGAR submissions identified in the EDGAR Filer Manual, include all series and/or class (or contract) identifiers of each series and/or class (or contract) on behalf of which the filing is made. - (c) Registered investment companies whose last effective registration statement or amendment (other than a merger/proxy filing on Form N-14 ([§ 239.23](/cfr/17/239.23.md) of this chapter)) was filed on Form N-1A (§§ [239.15A](/cfr/17/239.15A.md) and [274.11A](/cfr/17/274.11A.md) of this chapter), Form N-3 (§§ [239.17A](/cfr/17/239.17A.md) and [274.11b](/cfr/17/274.11b.md) of this chapter), Form N-4 (§§ [239.17b](/cfr/17/239.17b.md) and [274.11c](/cfr/17/274.11c.md) of this chapter), or Form N-6 (§§ [239.17c](/cfr/17/239.17c.md) and [274.11d](/cfr/17/274.11d.md) of this chapter) must provide electronically, as specified in the EDGAR Filer Manual, in the EDGAR submission identifying information concerning the acquiring fund and the target fund (and the series and/or classes (contracts), if any, of each if in existence at the time of the filing) in connection with merger filings on Form N-14 ([§ 239.23](/cfr/17/239.23.md) of this chapter), under [§ 230.425](/cfr/17/230.425.md) of this chapter, and in compliance with Regulation 14A ([§ 240.14a-1](/cfr/17/240.14a-1.md) of this chapter), Schedule 14A ([§ 240.14a-101](/cfr/17/240.14a-101.md) of this chapter), and all other applicable rules and regulations adopted pursuant to Section 14(a) of the Exchange Act, as referenced in Investment Company Act [Rule 20a-1](/cfr/17/20a-1.md) ([§ 270.20a-1](/cfr/17/270.20a-1.md) of this chapter). - (d) Non-registrant third party filers making proxy filings with respect to investment companies must designate in the EDGAR submission the type of investment company (as referenced in [paragraph (a)](#a) of this section) and include series and/or class (or contract) identifiers in designated EDGAR proxy submission types, in accordance with the EDGAR Filer Manual. ## Notes ### Amendments [70 FR 43569, July 27, 2005, as amended at 89 FR 60090, July 24, 2024] ### Authority Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 77j, 77s(a), 77z-3, 77sss(a), 78c(b), 78 l, 78m, 78n, 78n-1, 78o(d), 78w(a), 78 ll, 80a-6(c), 80a-8, 80a-29, 80a-30, 80a-37, 7201 et seq.; and 18 U.S.C. 1350, unless otherwise noted. Section 232.302 is also issued under secs. 3(a) and 302, Pub.L. No. 107-204, 116 Stat. 745. ### Source Source: 58 FR 14670, Mar. 18, 1993, unless otherwise noted. ### Amendments [70 FR 43569, July 27, 2005, as amended at 89 FR 60090, July 24, 2024]