§ 239.23. Form N-14, for the registration of securities issued in business combination transactions by investment companies and business development companies.

175 words·~1 min read·/us/cfr/t17/s§ 239.23·

A research copy — for the controlling text, always check the official state or federal source. Not legal advice.

This form shall be used by a registered investment company or a business development company as defined by section 2(a)(48) of the Investment Company Act of 1940 for registration under the Securities Act of 1933 of securities to be issued:

(a)In a transaction of the type specified in paragraph

(a)of Rule 145 (§ 230.145 of this chapter);

(b)In a merger in which the applicable state law would not require the solicitation of the votes or consents of all the security holders of the company being acquired;

(c)In an exchange offer for securities of the issuer or another entity;

(d)In a public reoffering or resale of any such securities acquired pursuant to this registration statement;

(e)In more than one of the kinds of transactions listed in paragraphs

(a)through

(d)registered on one registration statement. \[50 FR 48383, Nov. 25, 1985\] Editorial Note:For Federal Register citations affecting Form N-14, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

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§ 239.23

Form N-14, for the registration of securities issued in business combination transactions by investment companies and business development companies.

Fed. Reg.×30

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