cfr_sections
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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 17:17:5.0.1.1.21.0.36.1 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | § 274.0-1 Availability of forms. | SEC | [46 FR 17757, Mar. 20, 1981, as amended at 47 FR 26820, June 22, 1982; 59 FR 5946, Feb. 9, 1994; 73 FR 32228, June 5, 2008] | (a) This part identifies and describes the forms prescribed for use under the Investment Company Act of 1940. (b) Any person may obtain a copy of any form prescribed for use in this part by written request to the Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Any person may inspect the forms at this address and at the Commission's regional offices. (See § 200.11 of this chapter for the addresses of SEC regional offices) | ||||||
| 17:17:5.0.1.1.21.1.36.1 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | A | Subpart A—Registration Statements | § 274.5 Form N-5, for registration statement of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940. | SEC | This form shall be used for the registration statement under both sections 6 and 7 of the Securities Act of 1933 (15 U.S.C. 77f, 77g) and section 8(b) of the Investment Company Act of 1940 (15 U.S.C. 80a-8(b)), by a small business investment company which is licensed as such under the Small Business Investment Act of 1958 or which has received preliminary approval of the Small Business Administration and has been notified by that Administration that it may submit a license application. | |||||
| 17:17:5.0.1.1.21.1.36.10 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | A | Subpart A—Registration Statements | § 274.13 Form N-8B-3, registration statement of unincorporated management investment companies currently issuing periodic payment plan certificates. | SEC | (a) This form shall be used for registration statement to be filed, pursuant to section 8(b) of the Investment Company Act of 1940, by unincorporated management investment companies currently issuing periodic payment plan certificates. | |||||
| 17:17:5.0.1.1.21.1.36.11 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | A | Subpart A—Registration Statements | § 274.14 Form N-8B-4, registration statements of face-amount certificate companies. | SEC | This form shall be used for registration statements of face-amount certificate companies registered under the Investment Company Act of 1940. | |||||
| 17:17:5.0.1.1.21.1.36.12 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | A | Subpart A—Registration Statements | § 274.15 Form N-6F, notice of intent to elect to be subject to sections 55 through 65 of the Investment Company Act of 1940. | SEC | [47 FR 10520, Mar. 11, 1982] | This form shall be used by a company that would be excluded from the definition of an investment company by section 3(c)(1) of the Investment Company Act of 1940 [15 U.S.C. 80a-3(c)(1)], except that at the time of filing it proposes to make a public offering of its securities as a business development company, to notify the Securities and Exchange Commission that the company intends in good faith to file, within 90 days, a notification of election to become subject to the provisions of sections 55 through 65 of the Investment Company Act of 1940 [15 U.S.C. 80a-54 through 64]. The text of the form is set forth in the appendix to this release. 1 1 A copy of Form N-6F accompanied this release as originally filed in the Office of the Federal Register. | ||||
| 17:17:5.0.1.1.21.1.36.13 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | A | Subpart A—Registration Statements | § 274.24 Form 24F-2, annual filing of securities sold pursuant to registration of certain investment company securities and registered non-variable annuities. | SEC | [89 FR 60092, July 24, 2024] | Form 24F-2 shall be used as the annual report filed by face amount certificate companies, open-end management companies, unit investment trusts, and registered non-variable annuities pursuant to §§ 230.456, 230.457, or 270.24f-2 of this chapter for reporting securities sold during the fiscal year. | ||||
| 17:17:5.0.1.1.21.1.36.14 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | A | Subpart A—Registration Statements | § 274.51 Form N-18F-1, for notification of election pursuant to § 270.18f-1 of this chapter. | SEC | [36 FR 11920, June 23, 1971 as amended at 36 FR 20504, Oct. 23, 1971; 39 FR 36003, Oct. 7, 1974; 59 FR 52701, Oct. 19, 1994] | (a) This form shall be filed with the Commission in triplicate as the notification of election pursuant to § 270.18f-1 of this chapter by a registered open-end investment company to commit itself to pay in cash all redemptions requested by a shareholder of record as provided in said section. | ||||
| 17:17:5.0.1.1.21.1.36.15 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | A | Subpart A—Registration Statements | § 274.53 Form N-54A, notification of election to be subject to sections 55 through 65 of the Investment Company Act of 1940 filed pursuant to section 54(a) of the Act. | SEC | [47 FR 10520, Mar. 11, 1982] | This form shall be used pursuant to section 54(a) of the Investment Company Act of 1940 [15 U.S.C. 80a-53(a)] by a company of the type defined in sections 2(a)(48) (A) and (B) of the Investment Company Act of 1940 (15 U.S.C. 80a-2(a)(48) (A) and (B) to notify the Securities and Exchange Commission of its election to be subject to the provisions of sections 55 through 65 of said Act [15 U.S.C. 80a-54 through 64]. The text of the form is set forth in the appendix to this release. 2 2 A copy of Form N-54A accompanied this release as originally filed in the Office of the Federal Register. | ||||
| 17:17:5.0.1.1.21.1.36.16 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | A | Subpart A—Registration Statements | § 274.54 Form N-54C, notification of withdrawal of election to be subject to sections 55 through 65 of the Investment Company Act of 1940 filed pursuant to section 54(c) of the Investment Company Act of 1940. | SEC | [47 FR 10520, Mar. 11, 1982] | This form shall be used pursuant to section 54(c) of the Investment Company Act of 1940 [15 U.S.C. 80a-53(c)] by a business development company to file a notice of withdrawal of its election under section 54(a) of the Investment Company Act of 1940 [15 U.S.C. 80a-53(a)]. The text of the form is set forth in the appendix to this release. 3 3 A copy of Form N-54C accompanied this release as originally filed in the Office of the Federal Register. | ||||
| 17:17:5.0.1.1.21.1.36.2 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | A | Subpart A—Registration Statements | § 274.10 Form N-8A, for notification of registration. | SEC | This form shall be used as the notification of registration filed with the Commission pursuant to section 8(a) of the Investment Company Act of 1940. | |||||
| 17:17:5.0.1.1.21.1.36.3 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | A | Subpart A—Registration Statements | § 274.11 [Reserved] | SEC | ||||||
| 17:17:5.0.1.1.21.1.36.4 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | A | Subpart A—Registration Statements | § 274.11A Form N-1A, registration statement of open-end management investment companies. | SEC | [48 FR 37940, Aug. 22, 1983, as amended at 59 FR 52701, Oct. 19, 1994] | Form N-1A shall be used as the registration statement to be filed pursuant to section 8(b) of the Investment Company Act of 1940 by open-end management investment companies other than separate accounts of insurance companies or companies which issue periodic payment plan certificates or which are sponsors or depositors of companies issuing such certificates. This form shall be used for registration under the Securities Act of 1933 of the securities of all open-end management investment companies other than registered separate accounts of insurance companies. This form is not applicable for small business investment companies which register pursuant to §§ 293.24 and 274.5 of this chapter. | ||||
| 17:17:5.0.1.1.21.1.36.5 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | A | Subpart A—Registration Statements | § 274.11a-1 Form N-2, registration statement of closed end management investment companies. | SEC | [43 FR 39553, Sept. 5, 1978, as amended at 59 FR 52701, Oct. 19, 1994] | This form shall be used as the registration statement to be filed pursuant to section 8(b) of the Investment Company Act of 1940 by closed end management investment companies other than companies which issue periodic payment plan certificates or which are sponsors or depositors of companies issuing such certificates. This form also shall be used for registration under the Securities Act of 1933 of the securities of all closed end management investment companies. This form is not applicable for small business investment companies which register pursuant to §§ 239.24 and 274.5 of this chapter. | ||||
| 17:17:5.0.1.1.21.1.36.6 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | A | Subpart A—Registration Statements | § 274.11b Form N-3, registration statement of separate accounts organized as management investment companies. | SEC | [50 FR 26161, June 25, 1985] | Form N-3 shall be used as the registration statement to be filed pursuant to section 8(b) of the Investment Company Act of 1940 by separate accounts that offer variable annuity contracts to register as management investment companies. This form shall also be used for registration under the Securities Act of 1933 of the securities of such separate accounts (§ 239.17a of this chapter). | ||||
| 17:17:5.0.1.1.21.1.36.7 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | A | Subpart A—Registration Statements | § 274.11c Form N-4, registration statement of separate accounts organized as unit investment trusts. | SEC | [50 FR 26161, June 25, 1985] | Form N-4 shall be used as the registration statement to be filed pursuant to section 8(b) of the Investment Company Act of 1940 by separate accounts that offer variable annuity contracts to register as unit investment trusts. This form shall also be used for registration under the Securities Act of 1933 of the securities of such separate accounts (§ 239.17b of this chapter). | ||||
| 17:17:5.0.1.1.21.1.36.8 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | A | Subpart A—Registration Statements | § 274.11d Form N-6, registration statement of separate accounts organized as unit investment trusts that offer variable life insurance policies. | SEC | [67 FR 19870, Apr. 23, 2002] | Form N-6 shall be used as the registration statement to be filed pursuant to section 8(b) of the Investment Company Act of 1940 by separate accounts that offer variable life insurance policies to register as unit investment trusts. This form shall also be used for registration under the Securities Act of 1933 of the securities of such separate accounts (§ 239.17c of this chapter). | ||||
| 17:17:5.0.1.1.21.1.36.9 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | A | Subpart A—Registration Statements | § 274.12 Form N-8B-2, registration statement of unit investment trusts that are currently issuing securities. | SEC | [67 FR 19870, Apr. 23, 2002] | This form shall be used as the registration statement to be filed, pursuant to section 8(b) of the Investment Company Act of 1940, by unit investment trusts other than separate accounts that are currently issuing securities, including unit investment trusts that are issuers of periodic payment plan certificates. | ||||
| 17:17:5.0.1.1.21.2.36.1 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | B | Subpart B—Forms for Reports | § 274.101 Form N-CEN, annual report of registered investment companies. | SEC | [81 FR 82023, Nov. 18, 2016] | This form shall be used by registered investment companies for annual reports to be filed pursuant to 17 CFR 270.30a-1. | ||||
| 17:17:5.0.1.1.21.2.36.2 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | B | Subpart B—Forms for Reports | §§ 274.102-274.126 [Reserved] | SEC | ||||||
| 17:17:5.0.1.1.21.2.36.3 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | B | Subpart B—Forms for Reports | § 274.127d-1 Form N-27D-1 accounting of segregated trust account. | SEC | [36 FR 24056, Dec. 18, 1971] | This form shall be completed and filed with the Commission as a report required by § 270.27d-1 of this chapter by each depositor or principal underwriter, within 15 days after the close of each quarter during the first 2 years after the effective date of § 270.27d-1 of this chapter, and thereafter this form shall be filed annually on or before January 31 of the following calendar year. Each investment company for which a segregated trust account is established shall be listed on the cover page. Two copies of the form, plus an additional copy for each registered investment company covered, shall be filed and the filing shall be signed by an authorized representative of the depositor or underwriter. | ||||
| 17:17:5.0.1.1.21.2.36.4 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | B | Subpart B—Forms for Reports | § 274.128 Form N-CSR, certified shareholder report. | SEC | [68 FR 5368, Feb. 3, 2003] | This form shall be used by registered management investment companies to file reports pursuant to § 270.30b2-1(a) of this chapter not later than 10 days after the transmission to stockholders of any report that is required to be transmitted to stockholders under § 270.30e-1 of this chapter. | ||||
| 17:17:5.0.1.1.21.2.36.5 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | B | Subpart B—Forms for Reports | § 274.129 Form N-PX, annual report of proxy voting record. | SEC | [68 FR 6584, Feb. 7, 2003] | This form shall be used by registered management investment companies, other than small business investment companies registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), for annual reports to be filed not later than August 31 of each year, containing the company's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and § 270.30b1-4 of this chapter. | ||||
| 17:17:5.0.1.1.21.2.36.6 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | B | Subpart B—Forms for Reports | § 274.130 [Reserved] | SEC | ||||||
| 17:17:5.0.1.1.21.2.36.7 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | B | Subpart B—Forms for Reports | § 274.150 Form N-PORT, Monthly portfolio holdings report. | SEC | [84 FR 7988, Mar. 6, 2019] | (a) Except as provided in paragraph (b) of this section, this form shall be used by registered management investment companies or exchange-traded funds organized as unit investment trusts, or series thereof, to file reports pursuant to § 270.30b1-9 of this chapter not later than 60 days after the end of each fiscal quarter. (b) Form N-PORT shall not be filed by a registered open-end management investment company that is regulated as a money market fund under § 270.2a-7 of this chapter or a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), or series thereof. The text of Form N-PORT will not appear in the Code of Federal Regulations. | ||||
| 17:17:5.0.1.1.21.2.36.9 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | B | Subpart B—Forms for Reports | § 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) of § 270.17d-1 of this chapter. | SEC | This form shall be filed pursuant to Rule 17d-2 (§ 270.17d-2 of this chapter) as the report required, under subparagraph (d)(3) of Rule 17d-1 (§ 270.17d-1(d)(3) of this chapter), to be filed, either jointly or separately, by a small business investment company (SBIC) licensed as such under the Small Business Investment Act of 1958, and by a bank which is an affiliated person of either the SBIC or of an affiliated person of the SBIC, with respect to investments in a small business concern by the SBIC and the bank. | |||||
| 17:17:5.0.1.1.21.3.36.1 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | C | Subpart C—Forms for Other Statements | § 274.201 Form N-MFP, portfolio holdings of money market funds. | SEC | [75 FR 10118, Mar. 4, 2010] | This form shall be used by registered open-end management investment companies that are regulated as money market funds under § 270.2a-7 of this chapter to file reports pursuant to § 270.30b1-7 of this chapter no later than the fifth business day of each month. | ||||
| 17:17:5.0.1.1.21.3.36.2 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | C | Subpart C—Forms for Other Statements | § 274.202 Form 3, initial statement of beneficial ownership of securities. | SEC | [67 FR 43537, June 28, 2002] | This form shall be filed pursuant to § 270.30h-1 for initial statements of beneficial ownership of securities required to be filed pursuant to section 30(h) of the Investment Company Act of 1940 (15 U.S.C. 80a-29(h)). (Same as § 249.103 of this chapter.) | ||||
| 17:17:5.0.1.1.21.3.36.3 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | C | Subpart C—Forms for Other Statements | § 274.203 Form 4, statement of changes in beneficial ownership of securities. | SEC | [67 FR 43537, June 28, 2002] | This form shall be filed pursuant to § 270.30h-1 for statements of changes in beneficial ownership of securities required to be filed pursuant to section 30(h) of the Investment Company Act of 1940 (15 U.S.C. 80a-29(h)). (Same as § 249.104 of this chapter.) | ||||
| 17:17:5.0.1.1.21.3.36.4 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | C | Subpart C—Forms for Other Statements | § 274.218 Form N-8F, application for deregistration of certain registered investment companies. | SEC | [64 FR 19471, Apr. 21, 1999] | This form must be used as the application for an order of the Commission in cases in which the applicant is a registered investment company that: (a) Has sold substantially all of its assets to another registered investment company or merged into or consolidated with another registered investment company; (b) Has distributed substantially all of its assets to its shareholders and has completed, or is in the process of, winding up its affairs; (c) Qualifies for an exclusion from the definition of “investment company” under section 3(c)(1) (15 U.S.C. 80a-3(c)(1)) or section 3(c)(7) (15 U.S.C. 80a-3(c)(7)) of the Act; or (d) Has become a business development company. | ||||
| 17:17:5.0.1.1.21.3.36.5 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | C | Subpart C—Forms for Other Statements | § 274.219 Form N-17f-1, cover page for each certificate of accounting of securities and similar investments of a management investment company in the custody of a member of a national securities exchange, filed pursuant to rule 17f-1. | SEC | [54 FR 32049, Aug. 4, 1989] | |||||
| 17:17:5.0.1.1.21.3.36.6 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | C | Subpart C—Forms for Other Statements | § 274.220 Form N-17f-2, cover page for each certificate of accounting of securities and similar investments in the custody of a registered management investment company, filed pursuant to rule 17f-2. | SEC | [54 FR 32049, Aug. 4, 1989] | |||||
| 17:17:5.0.1.1.21.3.36.7 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | C | Subpart C—Forms for Other Statements | § 274.221 Form N-23c-3, Notification of repurchase offer. | SEC | [58 FR 19345, Apr. 14, 1993] | Form N-23c-3 shall be filed with copies of notifications of repurchase offers submitted to the Commission as required under rule 23c-3 (§ 270.23c-3 of this chapter). | ||||
| 17:17:5.0.1.1.21.3.36.8 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | C | Subpart C—Forms for Other Statements | § 274.222 Form N-CR, Current report of money market fund material events. | SEC | [79 FR 47973, Aug. 14, 2014] | This form shall be used by registered investment companies that are regulated as money market funds under § 270.2a-7 of this chapter to file current reports pursuant to § 270.30b1-8 of this chapter within the time periods specified in the form. | ||||
| 17:17:5.0.1.1.21.3.36.9 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | C | Subpart C—Forms for Other Statements | § 274.223 Form N-RN, Current report, open- and closed-end investment company reporting. | SEC | [85 FR 83296, Dec. 21, 2020] | This form shall be used by registered open-end management investment companies, or series thereof, and closed-end management investment companies, to file reports pursuant to § 270.18f-4(c)(7) and § 270.30b1-10 of this chapter. | ||||
| 17:17:5.0.1.1.21.4.36.1 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | D | Subpart D—Forms for Exemptions | § 274.301 Notification of claim of exemption pursuant to Rule 6e-2 or Rule 6e-3(T) under the Investment Company Act. | SEC | [49 FR 47228, Dec. 3, 1984] | This form shall be filed with the Commission as required by § 270.6e-2 or § 270.6e-3(T) of this chapter by each insurance company with respect to each separate account for which exemption is claimed pursuant to § 270.6e-2 or § 270.6e-3(T). | ||||
| 17:17:5.0.1.1.21.5.36.1 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | E | Subpart E—Forms for Electronic Filing | § 274.401 [Reserved] | SEC | ||||||
| 17:17:5.0.1.1.21.5.36.2 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | E | Subpart E—Forms for Electronic Filing | § 274.402 Form ID, uniform application for access codes to file on EDGAR. | SEC | [89 FR 106223, Dec. 27, 2024] | Form ID must be filed by electronic filers, or by their account administrators, to request EDGAR access and to authorize account administrators to manage the electronic filer's EDGAR account. | ||||
| 17:17:5.0.1.1.21.5.36.3 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | E | Subpart E—Forms for Electronic Filing | § 274.403 Form SE, form for submission of paper format exhibits by electronic filers. | SEC | [58 FR 14861, Mar. 18, 1993] | This form shall be used by an electronic filer for the submission of any paper format document relating to an otherwise electronic filing, as provided in rule 311 of Regulation S-T (§ 232.311 of this chapter). | ||||
| 17:17:5.0.1.1.21.5.36.4 | 17 | Commodity and Securities Exchanges | II | 274 | PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 | E | Subpart E—Forms for Electronic Filing | § 274.404 Form TH—Notification of reliance on temporary hardship exemption. | SEC | [58 FR 14861, Mar. 18, 1993] | Form TH shall be filed by any electronic filer who submits to the Commission, pursuant to a temporary hardship exemption, a document in paper format that otherwise would be required to be submitted electronically, as prescribed by rule 201(a) of Regulation S-T (§ 232.201(a) of this chapter). | ||||
| 7:7:4.1.1.3.22.0.1.1 | 7 | Agriculture | II | C | 274 | PART 274—ISSUANCE AND USE OF PROGRAM BENEFITS | § 274.1 Issuance system approval standards. | FNS | [75 FR 18381, Apr. 12, 2010, as amended at 79 FR 10, Jan. 2, 2014; 81 FR 66498, Sept. 28, 2016] | (a) Basic issuance requirements. State agencies shall establish issuance and accountability systems which ensure that only certified eligible households receive benefits; that Program benefits are timely distributed in the correct amounts; and that benefit issuance and reconciliation activities are properly conducted and accurately reported to FNS. (b) System classification. State agencies may issue benefits to households through any of the following systems: (1) An on-line Electronic Benefit Transfer (EBT) system in which Program benefits are stored in a central computer database and electronically accessed by households at the point of sale via reusable plastic cards. (2) An off-line EBT system in which benefit allotments can be stored on a card or in a card access device and used to purchase authorized items at a point-of-sale (POS) terminal without real-time authorization from a central processor. (c) Alternative benefit issuance system. (1) If the Secretary, in consultation with the Office of the Inspector General, determines that Program integrity would be improved by changing the issuance system of a State, the Secretary shall require the State agency to issue or deliver benefits using another method. The alternative method may be one of the methods described in paragraph (b) of this section. The determination of which alternative to use will be made by FNS after consultation with the State agency. The cost of conversion will be shared by the Department and the State agency in accordance with the cost accounting provision of part 277 of this chapter. (2) The cost of documents or systems which may be required as a result of a permanent alternative issuance system pursuant to this section shall not be imposed upon retail food firms participating in the Program. (d) Contracting or delegating issuance responsibilities. State agencies may assign to others such as banks, savings and loan associations, and other commercial businesses, the responsibility for the issuance of benefits. State agencies m… | |||||
| 7:7:4.1.1.3.22.0.1.2 | 7 | Agriculture | II | C | 274 | PART 274—ISSUANCE AND USE OF PROGRAM BENEFITS | § 274.2 Providing benefits to participants. | FNS | [75 FR 18381, Apr. 12, 2010,, as amended at 78 FR 51657, Aug. 21, 2013; 85 FR 52032, Aug. 24, 2020] | (a) General. Each State agency is responsible for the timely and accurate issuance of benefits to certified eligible households, including EBT system compliance with the expedited service benefit delivery standard and the normal application processing standards, as prescribed by these regulations. Those households located in rural areas or comprised of elderly or disabled members who have difficulty reaching issuance offices, and households which do not reside in a permanent dwelling or of a fixed mailing address shall be given assistance in obtaining an EBT card. State agencies shall assist these households by arranging for the mailing of EBT cards to them, by assisting them in finding authorized representatives who can act on their behalf, or by using other appropriate means. (b) Availability of benefits. All newly certified households, except those that are given expedited service, shall be given an opportunity to participate no later than 30 calendar days following the date the application was filed. An opportunity to participate consists of providing households with an active EBT card and PIN, and benefits that have been posted to the household's EBT account and are available for spending. State agencies, utilizing a centralized mailing system, must mail EBT cards and PINs, if applicable, in time to assure that the benefits can be spent after they are received but before the 30-day standard expires. A household has not been provided an opportunity to participate within the 30-day standard if the EBT card or PIN is mailed on the 29th or 30th day. For households entitled to expedited service, the State agency shall make benefits available to the household not later than the seventh calendar day following the date of application. (c) Benefit allotments. (1) State agencies shall not issue ongoing monthly benefit allotments to a household in more than one issuance during a month except with respect to the issuance of benefits to a resident of a drug and alcohol treatment and rehabilitation program in acco… | |||||
| 7:7:4.1.1.3.22.0.1.3 | 7 | Agriculture | II | C | 274 | PART 274—ISSUANCE AND USE OF PROGRAM BENEFITS | § 274.3 Retailer management. | FNS | (a) Retailer participation. (1) All authorized retailers must be afforded the opportunity to participate in the EBT system. An authorized food retailer shall not be required to participate in an EBT system. (i) Retailers who do not have immediate access to telephones at the time of authorization shall be accommodated by an alternative system ( e.g., manual vouchers with preliminary or delayed telephone verification) for redeeming Program benefits from eligible SNAP customers. These retailers include stationary food stores which opt to make home deliveries to SNAP households, house-to-house trade routes which operate on standing orders from customers, e.g. milk and bread delivery routes, food buying cooperatives authorized to participate as well as other food retailers authorized under § 278.1 of this chapter. Prior to delivery or upon returning to the store, the retailer shall telephone the EBT central computer or hotline number to log the transaction and obtain an authorization number. If authorization cannot be obtained before or at the time of purchase, the retailer assumes the risk for sufficient benefits being available in the household's account. Any alternate method cannot be burdensome on either the household or the retailer, and it must include acceptable privacy and security features. Such systems shall only be available to retailers that cannot be equipped with a POS terminal at the time of authorization. (ii) Newly authorized retailers shall have access to the EBT system within 2 weeks after the receipt of the FNS authorization notice. However, whenever a retailer chooses to employ a third party processor to drive its terminals or elects to drive its own terminals, access to the system shall be accomplished within a 30 day period or a mutually agreed upon time to enable the third party interface specifications and any State required functional certification to be performed by the State agency and/or its contractor. (2) Authorized retailers shall not be required to pay costs essential to and di… | ||||||
| 7:7:4.1.1.3.22.0.1.4 | 7 | Agriculture | II | C | 274 | PART 274—ISSUANCE AND USE OF PROGRAM BENEFITS | § 274.4 Reconciliation and reporting. | FNS | (a) Reconciliation. State agencies shall account for all issuance through a reconciliation process. The EBT system shall provide reports and documentation pertaining to the following: (1) Reconciliation. Reconciliation shall be conducted and records kept as follows: (i) Reconciliation of benefits posted to household accounts on the central computer against benefits on the Issuance Authorization File; (ii) Reconciliation of individual household account balances against account activities on a daily basis; (iii) Reconciliation of each individual retail store's SNAP transactions per POS terminal and in total to deposits on a daily basis; (iv) Verification of retailer's credits against deposit information entered into the automated clearinghouse (ACH) network; (v) Reconciliation of total funds entered into, exiting from, and remaining in the system each day; (vi) Maintenance of audit trails that document the full cycle of issuance from benefit allotment posting to the State issuance authorization file through posting to POS transactions at retailers through settlement of retailer credits. (b) Management reports. The State agency shall require the EBT system to provide reports that enable the State agency to manage the system. The reports shall be available to the State agency or FNS as requested on a timely basis and consist of: (1) Information on how the system operates relative to its performance standards, the incidence, type and cause of system problems, and utilization patterns. (2) Retailer transaction data submitted to FNS on a monthly basis. This data must be submitted in the specified format in accordance with the required schedule. (3) Data detailing by specified category the amount of Program benefits issued or returned through the EBT system shall be provided in a format and mechanism specified by FNS to the FNS Account Management Agent as the benefits become available to recipients. This data will be used to increase or decrease the SNAP EBT benefit funding authorization for the State's … | ||||||
| 7:7:4.1.1.3.22.0.1.5 | 7 | Agriculture | II | C | 274 | PART 274—ISSUANCE AND USE OF PROGRAM BENEFITS | § 274.5 Record retention and forms security. | FNS | (a) Availability of records. (1) The State agency shall maintain issuance, inventory, reconciliation, and other accountability records for a period of three years as specified in § 272.1(f) of this chapter. This period may be extended at the written request of FNS. (2) In lieu of the records themselves, easily retrievable microfilm, microfiche, or computer tapes which contain the required information may be maintained. (b) Control of issuance documents. The State agency shall control all issuance documents which establish household eligibility while the documents are transferred and processed within the State agency. The State agency shall use numbers, batching, inventory control logs, or similar controls from the point of initial receipt through the issuance and reconciliation process. (c) Accountable documents. (1) EBT cards shall be considered accountable documents. The State agency shall provide the following minimum security and control procedures for these documents: (i) Secure storage; (ii) Access limited to authorized personnel; (iii) Bulk inventory control records; (iv) Subsequent control records maintained through the point of issuance or use; and (v) Periodic review and validation of inventory controls and records by parties not otherwise involved in maintaining control records. (2) For notices of change which initiate, update or terminate the master issuance file, the State agency shall, at a minimum, provide secure storage and shall limit access to authorized personnel. | ||||||
| 7:7:4.1.1.3.22.0.1.6 | 7 | Agriculture | II | C | 274 | PART 274—ISSUANCE AND USE OF PROGRAM BENEFITS | § 274.6 Replacement issuances and cards to households. | FNS | [75 FR 18381, Apr. 12, 2010, as amended at 78 FR 51657, Aug. 21, 2013] | (a) Providing replacement issuance. (1) Subject to the restrictions in paragraph (a)(3) of this section, State agencies shall provide replacement issuances to a household when the household reports that food purchased with Program benefits was destroyed in a household misfortune. (2) Where a Federal disaster declaration has been issued and the household is eligible for disaster SNAP benefits under the provisions of part 280, the household shall not receive both the disaster allotment and a replacement allotment for a misfortune. (3) Replacement restrictions. (i) Replacement issuances shall be provided only if a household timely reports a loss orally or in writing. The report will be considered timely if it is made to the State agency within 10 days of the date food purchased with Program benefits is destroyed in a household misfortune. (ii) No limit on the number of replacements shall be placed on the replacement of food purchased with Program benefits which was destroyed in a household misfortune. (iii) Except for households certified under 7 CFR part 280, replacement issuances shall be provided in the amount of the loss to the household, up to a maximum of one month's allotment, unless the issuance includes restored benefits which shall be replaced up to their full value. (4) Household statement of loss. (i) Prior to issuing a replacement, the State agency shall obtain from a member of the household a signed statement attesting to the household's loss. The required statement may be mailed to the State agency if the household member is unable to come into the office because of age, handicap or distance from the office and is unable to appoint an authorized representative. (ii) If the signed statement or affidavit is not received by the State agency within 10 days of the date of report, no replacement shall be made. If the 10th day falls on a weekend or holiday, and the statement is received the day after the weekend or holiday, the State agency shall consider the statement timely received. (iii) The… | |||||
| 7:7:4.1.1.3.22.0.1.7 | 7 | Agriculture | II | C | 274 | PART 274—ISSUANCE AND USE OF PROGRAM BENEFITS | § 274.7 Benefit redemption by eligible households. | FNS | [75 FR 18381, Apr. 12, 2010, as amended at 80 FR 53243, Sept. 3, 2015] | (a) Eligible food. Program benefits may be used only by the household, or other persons the household selects, to purchase eligible food for the household, which includes, for certain households, the purchase of prepared meals, and for other households residing in certain designated areas of Alaska, the purchase of hunting and fishing equipment with benefits. (b) Prior payment prohibition. Program benefits shall not be used to pay for any eligible food purchased prior to the time at which an EBT card is presented to authorized retailers or meal services. Neither shall benefits be used to pay for any eligible food in advance of the receipt of food, except when prior payment is for food purchased from a nonprofit cooperative food purchasing venture. (c) Transaction limits. No minimum dollar amount per transaction or maximum limit on the number of transactions shall be established. In addition, no transaction fees shall be imposed on SNAP households utilizing the EBT system to access their benefits. (d) Access to balances. (1) Households shall be permitted to determine their SNAP account balances without making a purchase or standing in a checkout line. (2) The State agency shall ensure that the EBT system is capable of providing a transaction history for a period of up to 2 calendar months to households upon request. (3) Households shall be provided printed receipts at the time of transaction in accordance with § 274.8(b)(7). (e) Access to retail stores. (1) The EBT system shall provide for minimal disruption of access to and service in retail stores by eligible households. (2) The EBT system shall not result in a significant increase in the cost of food or cost of transportation to authorized retailers for SNAP households. (f) Equal treatment. The EBT system shall be implemented and operated in a manner that maintains equal treatment for SNAP households in accordance with § 278.2(b) of this chapter. The following requirements for the equal treatment of SNAP households shall directly apply to EB… | |||||
| 7:7:4.1.1.3.22.0.1.8 | 7 | Agriculture | II | C | 274 | PART 274—ISSUANCE AND USE OF PROGRAM BENEFITS | § 274.8 Functional and technical EBT system requirements. | FNS | [75 FR 18381, Apr. 12, 2010, as amended at 79 FR 11, Jan. 2, 2014; 81 FR 89840, Dec. 13, 2016; 85 FR 52033, Aug. 24, 2020] | (a) Functional requirements. The State agency shall ensure that the EBT system is capable of performing the following functional requirements prior to implementation: (1) Authorizing household benefits. (i) Issuing and replacing EBT cards to eligible households; (ii) Permitting eligible households to select a personal identification number (PINs) at least four digits in length; (iii) Establishing benefit cards and accounts with the central computer database; (iv) Maintaining the master household issuance record file data and current authorization information; (v) Training households and other users in system usage; (vi) Authorizing benefit delivery; (vii) Posting benefits to each household's account for regular and supplemental issuances; (viii) Providing households with access to information on benefit availability; (ix) Ensuring the privacy of household data and providing benefit and data security; (x) Inventorying and securing accountable documents; and (xi) Zeroing out benefit accounts and other account authorization activity. (2) Providing food benefits to households. (i) Verifying the identity of authorized households or authorized household representatives at issuance terminals or POS; (ii) Verifying the PIN and/or PIN off-set, primary account number (PAN), terminal identification number and retailer identification number; (iii) Determining the sufficiency of the household's account balance in order to debit or credit household benefit accounts at the point of sale; (iv) Sending messages authorizing or rejecting purchases; (v) Providing back-up purchase procedures when the system is unavailable; (vi) Ensuring that benefits are available and carried over from month-to-month. (vii) Responding to issuance problems in a timely manner. (3) Crediting retailers and financial institutions for redeemed benefits. (i) Verifying electronic transactions flowing to or from participating retailers' bank accounts; (ii) Creating and maintaining a file containing the individual records of EBT tra… |
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