# 17 C.F.R. § 249.330 (2026): Form N-CEN, annual report of registered investment companies

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/CFR_T17_P249_S249_330

## Section

- **Citation:** 17 C.F.R. § 249.330 (2026)
- **Heading:** Form N-CEN, annual report of registered 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 249: FORMS, SECURITIES EXCHANGE ACT OF 1934 / Subpart D: Forms for Annual and Other Reports of Issuers and Other Persons Required Under Sections 13, 14A, and 15(d) of the Securities Exchange Act of 1934 / § 249.330: § 249.330   Form N-CEN, annual report of registered investment companies.

## Text

This form shall be used by registered unit investment trusts and small business investment companies for annual reports to be filed pursuant to § 270.30a-1 of this chapter in satisfaction of the requirement of section 30(a) of the Investment Company Act of 1940 (15 U.S.C. 80a-29(a)) that every registered investment company must file annually with the Commission such information, documents, and reports as investment companies having securities registered on a national securities exchange are required to file annually pursuant to section 13(a) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a)) and the rules and regulations thereunder.
Note:
The text of Form N-CEN will not appear in the
Code of Federal Regulations.
[81 FR 82020, Nov. 18, 2016]
Editorial Note:
For
Federal Register
citations affecting Form N-CEN, 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. § 249.306 (2026) § 249.306   Form 6-K, report of foreign issuer pursuant to Rules 13a-16 (§ 240.13a-16 of this chapter) and 15d-16 (§ 240.15d-16 of this chapter) under the Securities Exchange Act of 1934.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P249_S249_306.md)
- [17 C.F.R. § 249.308 (2026) § 249.308   Form 8-K, for current reports.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P249_S249_308.md)
- [17 C.F.R. § 249.308a (2026) § 249.308a   Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P249_S249_308a.md)
- [17 C.F.R. § 249.310 (2026) § 249.310   Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P249_S249_310.md)
- [17 C.F.R. § 249.311 (2026) § 249.311   Form 11-K, for annual reports of employee stock purchase, savings and similar plans pursuant to section 15(d) of the Securities Exchange Act of 1934.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P249_S249_311.md)
- [17 C.F.R. § 249.312 (2026) § 249.312   Form 10-D, periodic distribution reports by asset-backed issuers.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P249_S249_312.md)
- [17 C.F.R. § 249.318 (2026) § 249.318   Form 18-K, annual report for foreign governments and political subdivisions thereof.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P249_S249_318.md)
- [17 C.F.R. § 249.322 (2026) § 249.322   Form 12b-25—Notification of late filing.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P249_S249_322.md)
- [17 C.F.R. § 249.323 (2026) § 249.323   Form 15, certification of termination of registration of a class of security under section 12(g) or notice of suspension of duty to file reports pursuant to sections 13 and 15(d) of the Act.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P249_S249_323.md)
- [17 C.F.R. § 249.324 (2026) § 249.324   Form 15F, certification by a foreign private issuer regarding the termination of registration of a class of securities under section 12(g) or the duty to file reports under section 13(a) or section 15(d).](https://www.frixlaw.com/law-library/statutes/CFR_T17_P249_S249_324.md)
- [17 C.F.R. § 249.325 (2026) § 249.325   Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P249_S249_325.md)
- [17 C.F.R. § 249.326 (2026) § 249.326   Form N-PX, annual report of proxy voting record.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P249_S249_326.md)
- [17 C.F.R. § 249.327 (2026) § 249.327   Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules thereunder.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P249_S249_327.md)
- [17 C.F.R. § 249.328T (2026) § 249.328T   Form 17-H, Risk assessment report for brokers and dealers pursuant to section 17(h) of the Securities Exchange Act of 1934 and rules thereunder.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P249_S249_328T.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/CFR_T17_P249_S249_330. Check the current official text before relying on it. Not legal advice.