§ 80a–24.
Registration of securities under Securities Act of 1933
(a)
Registration statement; contents
In registering under the Securities Act of 1933 [
15 U.S.C. 77a et seq.], any security of which it is the issuer, a registered investment company, in lieu of furnishing a registration statement containing the information and documents specified in schedule A of said Act [
15 U.S.C. 77aa], may file a registration statement containing the following information and documents:
(1)
such copies of the registration statement filed by such company under this subchapter, and of such reports filed by such company pursuant to
section 80a–29 of this title or such copies of portions of such registration statement and reports, as the Commission shall designate by rules and regulations; and
(2)
such additional information and documents (including a prospectus) as the Commission shall prescribe by rules and regulations as necessary or appropriate in the public interest or for the protection of investors.
(b)
Filing of three copies of advertisement, pamphlet, etc. in connection with public offering; time of filing
It shall be unlawful for any of the following companies, or for any underwriter for such a company, in connection with a public offering of any security of which such company is the issuer, to make use of the mails or any means or instrumentalities of interstate commerce, to transmit any advertisement, pamphlet, circular, form letter, or other sales literature addressed to or intended for distribution to prospective investors unless three copies of the full text thereof have been filed with the Commission or are filed with the Commission within ten days thereafter:
(1)
any registered open-end company;
(2)
any registered unit investment trust; or
(3)
any registered face-amount certificate company.
(c)
Additional requirement for prospectuses relating to periodic payment plan certificates or face-amount certificate
(d)
Application of other provisions to securities of investment companies, face-amount certificate companies, and open-end companies or unit investment trust
(e)
Amendment of registration statements relating to securities issued by face-amount certificate companies, open-end management companies or unit investment trusts
(f)
Registration of indefinite amount of securities
(1)
Registration of securities
(2)
Payment of registration fees
Not later than 90 days after the end of the fiscal year of a company or trust referred to in paragraph (1), the company or trust, as applicable, shall pay a registration fee to the Commission, calculated in the manner specified in section 6(b) of the Securities Act of 1933 [
15 U.S.C. 77f(b)], based on the aggregate sales price for which its securities (including, for purposes of this paragraph, all securities issued pursuant to a dividend reinvestment plan) were sold pursuant to a registration of an indefinite amount of securities under this subsection during the previous fiscal year of the company or trust, reduced by—
(A)
the aggregate redemption or repurchase price of the securities of the company or trust during that year; and
(B)
the aggregate redemption or repurchase price of the securities of the company or trust during any prior fiscal year ending not more than 1 year before October 11, 1996, that were not used previously by the company or trust to reduce fees payable under this section.
(3)
Interest due on late payment
(g)
Additional prospectuses
([Aug. 22, 1940, ch. 686], title I, § 24, [54 Stat. 825]; [Aug. 10, 1954, ch. 667], title IV, §§ 402, 403, [68 Stat. 689]; [Pub. L. 91–547, § 13], Dec. 14, 1970, [84 Stat. 1423]; [Pub. L. 100–181, title VI, § 617], Dec. 4, 1987, [101 Stat. 1262]; [Pub. L. 104–290, title II], §§ 203(a), (b), 204, Oct. 11, 1996, [110 Stat. 3427], 3428.)