U.S. Code of Federal Regulations
Regulations most recently checked for updates: Feb 13, 2025
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.