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Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

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Rule 313 -- Identification of Investment Company Type and Series and/or Class (or Contract).

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1. Registered investment companies and business development companies 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) was filed on Form N-1, Form N-1A, Form N-2, Form N-3 and, Form N-4, Form N-5, Form N-6, Form S-1, Form S-3, or Form S-6 in those EDGAR submissions identified in the EDGAR Filer Manual.
   
   
2. Registered investment companies whose last effective registration statement or amendment (other than a merger/proxy filing on Form N-14) was filed on Form N-1A, Form N-3, Form N-4, or Form N-6 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.
      
      
3. Registered investment companies whose last effective registration statement or amendment (other than a merger/proxy filing on Form N-14) was filed on Form N-1A, Form N-3, Form N-4 (§§ 239.17b and, or Form N-6 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, under Rule 230.425 of this chapter, and in compliance with Regulation 14A (Rule 240.14a-1 of this chapter), Schedule 14A (Rule 240.14a-101 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.
   
   
4. 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) 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.
   
   
   
   

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