Part C: Other Information
Part C of the investment company registration statement is primarily made up of a host of documents. Those documents include the company’s articles of incorporation and bylaws, underwriting and investment adviser contracts, custodian agreements, legal opinion, additional financial statements, and its code of ethics. This information is made publicly available by the SEC.
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SUMMARY: Investment Company Registration Forms |
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Part A: Information Required in a Prospectus |
• Investment objectives and risks • Investment strategies • Investment adviser and portfolio manager IDs • Financial structure and performance • Pricing procedure and fee structure • Breakpoints • Summary pages (if registering new issue) |
Provided to purchasers at time of sale |
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Part B: Statement of Additional Information |
• Directors’ and officers’ IDs, experience, and pay • History of fund • Financial statements • Dividend and voting rights • Liquidation rights and | |