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Rules and Regulations
promulgated
under the
Investment Company Act of 1940





Rule 0-3 -- Amendments to Registration Statements and Reports


Registration statements filed with the Commission pursuant to Section 8 and reports filed with the Commission pursuant to Section 30 may be amended in the following manner:
  1. Each amendment shall conform to the requirements for the registration statement or report it amends with regard to filing, number of copies filed, size, paper, ink, margins, binding, and similar formal matters.

  2. Each amendment to a particular statement or report shall have a facing sheet as follows:

    Securities and Exchange Commission
    Washington, DC
    Amendment No._______
    to
    Form __________________________
    File No. _______________________
    (Describe the nature of the statement or report)
    Dated _____________, 19 ______.
    Pursuant to Section __________ of the
    Investment Company Act of 1940
    Name of Registrant
    Address of Principal Office of Registrant

    The facing sheet shall contain in addition any other information required on the facing sheet of the form for the statement or report which is being amended. Amendments to a particular statement or report which is being consecutively in the order in which filed with the Commission.

  3. Each amendment shall contain in the manner required in the original statement or report the text of every item to which it relates and shall set out a complete amended answer to each such item. However, amendments to financial statements may contain only the particular statements or schedules in fact amended.

  4. Each amendment shall have a signature sheet containing the form of signature required in the statement or report it amends.

Regulatory History


Rule N-3, 6 FR 3966, Aug. 8, 1941, as amended at 33 FR 3217, Feb. 21, 1968


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