§ 274.101 Form N-CEN, annual report of registered investment companies
§ 274.127d-1 Form N-27D-1 accounting of segregated trust account
§ 274.128 Form N-CSR, certified shareholder report
§ 274.129 Form N-PX, annual report of proxy voting record of registered management investment company
§ 274.150 Form N-PORT, Monthly portfolio holdings report
§ 274.200 Form N-17D-1, report filed by small business investment company (SBIC) registered under the Investment Company Act of 1940 and an affiliated bank, with respect to investments by the SBIC and the bank, submitted pursuant to paragraph (d)(3

Ask a legal question, get an answer ASAP!
Click here to chat with a lawyer about your rights.

Terms Used In CFR > Title 17 > Chapter II > Part 274 > Subpart B - Forms for Reports

  • Docket: A log containing brief entries of court proceedings.
  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • Jurisdiction: (1) The legal authority of a court to hear and decide a case. Concurrent jurisdiction exists when two courts have simultaneous responsibility for the same case. (2) The geographic area over which the court has authority to decide cases.
  • Presiding officer: A majority-party Senator who presides over the Senate and is charged with maintaining order and decorum, recognizing Members to speak, and interpreting the Senate's rules, practices and precedents.
  • Proxy voting: The practice of allowing a legislator to cast a vote in committee for an absent legislator.
  • Testimony: Evidence presented orally by witnesses during trials or before grand juries.
  • Transcript: A written, word-for-word record of what was said, either in a proceeding such as a trial or during some other conversation, as in a transcript of a hearing or oral deposition.
  • Trust account: A general term that covers all types of accounts in a trust department, such as estates, guardianships, and agencies. Source: OCC