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SEC RIN: 3235-AE46 Publication ID: Spring 1998 
Title: Registration Form Used by Open-End Management Investment Companies 
Abstract: The Commission adopted amendments to Form N-1A, the form used by open-end management investment companies ("funds") to register under the Investment Company Act and the Securities Act. The amendments revise the disclosure requirements for fund prospectuses, minimize prospectus disclosure about technical, legal and operational matters generally common to all funds, and focus prospectus disclosure on essential information about a particular fund that would assist an investor in deciding whether to invest in that fund. In a related action, 3235-AH03, the Commission adopted a new rule to permit funds to provide investors with a "fund profile." The profile is a summary of key information about a fund in a concise, standardized format. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Completed Actions 
Major: Yes  Unfunded Mandates: No 
CFR Citation: 17 CFR 239.15    17 CFR 274.11    17 CFR 239.23    17 CFR 239.15A    17 CFR 274.11A    17 CFR 239.17a    17 CFR 274.11b    17 CFR 239.17b    17 CFR 274.11c   
Legal Authority: 15 USC 77a et seq    15 USC 80a-1 et seq   
Timetable:
Action Date FR Cite
NPRM  02/27/1997  62 FR 10898   
NPRM Comment Period End  06/09/1997  62 FR 10898   
Final Action  03/10/1998  63 FR 13916   
Final Action Effective  06/01/1998  63 FR 13916   
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses 
Included in the Regulatory Plan: No 
Related RINs: Previously reported as 3235-AH03 
Agency Contact:
Jonathan F. Cayne
Office of Disclosure Regulation, Division of Investment Management
Securities and Exchange Commission
Phone:202 942-0721