# 17 C.F.R. § 239.15A (2026): Form N-1A, registration statement of open-end management investment companies

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/CFR_T17_P239_S239_15A

## Section

- **Citation:** 17 C.F.R. § 239.15A (2026)
- **Heading:** Form N-1A, registration statement of open-end management investment companies
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** Title 17 CFR: Commodity and Securities Exchanges / Chapter II: SECURITIES AND EXCHANGE COMMISSION / Part 239: FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 / Subpart A: Forms for Registration Statements / § 239.15A: § 239.15A   Form N-1A, registration statement of open-end management investment companies.

## Text

Form N-1A shall be used for the registration under the Securities Act of 1933 of securities of open-end management investment companies other than separate accounts of insurance companies registered under the Investment Company Act of 1940 (on form N-1) (§ 270.11 of this chapter). This form is also to be used for the registration statement of such companies pursuant to section 8(b) of the Investment Company Act of 1940 (§ 270.11A of this chapter). This form is not applicable for small business investment companies which register pursuant to §§ 239.24 and 274.5 of this chapter.
[48 FR 37940, Aug. 22, 1983]
Editorial Note:
For
Federal Register
citations affecting Form N-1A, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at
www.govinfo.gov.

## Nearby sections

- [17 C.F.R. § 239.11 (2026) § 239.11   Form S-1, registration statement under the Securities Act of 1933.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P239_S239_11.md)
- [17 C.F.R. § 239.13 (2026) § 239.13   Form S-3, for registration under the Securities Act of 1933 of securities of certain issuers offered pursuant to certain types of transactions.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P239_S239_13.md)
- [17 C.F.R. § 239.14 (2026) § 239.14   Form N-2 for closed end management investment companies registered on Form N-8A.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P239_S239_14.md)
- [17 C.F.R. § 239.15A (2026) § 239.15A   Form N-1A, registration statement of open-end management investment companies.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P239_S239_15A.md)
- [17 C.F.R. § 239.16 (2026) § 239.16   Form S-6, for unit investment trusts registered on Form N-8B-2.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P239_S239_16.md)
- [17 C.F.R. § 239.16b (2026) § 239.16b   Form S-8, for registration under the Securities Act of 1933 of securities to be offered to employees pursuant to employee benefit plans.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P239_S239_16b.md)
- [17 C.F.R. § 239.17a (2026) § 239.17a   Form N-3, registration statement for separate accounts organized as management investment companies.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P239_S239_17a.md)
- [17 C.F.R. § 239.17b (2026) § 239.17b   Form N-4, registration statement for separate accounts organized as unit investment trusts.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P239_S239_17b.md)
- [17 C.F.R. § 239.17c (2026) § 239.17c   Form N-6, registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P239_S239_17c.md)
- [17 C.F.R. § 239.18 (2026) § 239.18   Form S-11, for registration under the Securities Act of 1933 of securities of certain real estate companies.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P239_S239_18.md)
- [17 C.F.R. § 239.20 (2026) § 239.20   Form S-20, for standardized options.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P239_S239_20.md)
- [17 C.F.R. § 239.23 (2026) § 239.23   Form N-14, for the registration of securities issued in business combination transactions by investment companies and business development companies.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P239_S239_23.md)
- [17 C.F.R. § 239.24 (2026) § 239.24   Form N-5, form for registration of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P239_S239_24.md)
- [17 C.F.R. § 239.25 (2026) § 239.25   Form S-4, for the registration of securities issued in business combination transactions.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P239_S239_25.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/CFR_T17_P239_S239_15A. Check the current official text before relying on it. Not legal advice.