Post-effective Amendment (investment Company, Rule 485(b)) (485bpos)
22 Marzo 2013 - 4:37PM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on March 22, 2013
1933 Act Registration No. 333-168727
1940 Act Registration No. 811-22452
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-1A
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [ ]
Pre-Effective Amendment No. __ [ ]
Post-Effective Amendment No. 10 [X]
and
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 [ ]
Amendment No. 11 [X]
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FIRST TRUST SERIES FUND
(Exact Name of Registrant as Specified in Charter)
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
(Address of Principal Executive Offices) (Zip Code)
REGISTRANT'S TELEPHONE NUMBER, INCLUDING AREA CODE: (800) 621-1675
W. Scott Jardine, Esq., Secretary
First Trust Series Fund
First Trust Advisors L.P.
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
(Name and Address of Agent for Service)
Copy to:
Eric F. Fess, Esq.
Chapman and Cutler LLP
111 West Monroe Street
Chicago, Illinois 60603
It is proposed that this filing will become effective (check appropriate box):
[X] immediately upon filing pursuant to paragraph (b)
[ ] on (date) pursuant to paragraph (b)
[ ] 60 days after filing pursuant to paragraph (a)(1)
[ ] on (date) pursuant to paragraph (a)(1)
[ ] 75 days after filing pursuant to paragraph (a)(2)
[ ] on (date) pursuant to paragraph (a)(2) of Rule 485.
If appropriate, check the following box:
[ ] this post-effective amendment designates a new effective date for a
previously filed post-effective amendment.
This Registration Statement relates to First Trust Preferred Securities
and Income Fund and First Trust/Confluence Small Cap Value Fund, each a series
of the Registrant.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the
Investment Company Act of 1940, the Registrant certifies that it meets all of
the requirements for effectiveness of this Registration Statement under rule
485(b) under the Securities Act of 1933 and has duly caused this Registration
Statement to be signed on its behalf by the undersigned, duly authorized, in the
City of Wheaton, and State of Illinois, on the 22nd day of March, 2013.
FIRST TRUST SERIES FUND
By: /s/ Mark R. Bradley
---------------------------------
Mark R. Bradley, President and
Chief Executive Officer
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Pursuant to the requirements of the Securities Act of 1933, this
Registration Statement has been signed below by the following persons in the
capacities and on the date indicated:
SIGNATURE TITLE DATE
/s/ Mark R. Bradley President and Chief Executive March 22, 2013
------------------------------------ Officer
Mark R. Bradley
/s/ James M. Dykas Treasurer, Chief Financial Officer March 22, 2013
------------------------------------ and Chief Accounting Officer
James M. Dykas
)
James A. Bowen* Trustee )
)
)
Richard E. Erickson* Trustee )
)
)
Thomas R. Kadlec* Trustee ) BY: /s/ W. Scott Jardine
) ------------------------------
) W. Scott Jardine
Robert F. Keith* Trustee ) Attorney-In-Fact
) March 22, 2013
)
Niel B. Nielson* Trustee )
)
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* Original powers of attorney authorizing James A. Bowen, W. Scott Jardine,
Eric F. Fess and Kristi A. Maher to execute Registrant's Registration
Statement, and Amendments thereto, for each of the trustees of the Registrant
on whose behalf this Registration Statement is filed, were previously
executed, filed as an exhibit and are incorporated by reference herein.
INDEX TO EXHIBITS
(101) Risk/return summary in interactive data format
Grafico Azioni PostRock Energy (CE) (USOTC:PSTRQ)
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