SEC Form F-8 Definition

SEC Form F-8 Definition

What Is SEC Form F-8? SEC Form F-8 is a regulatory filing with the Securities and Exchange Commission (SEC) by publicly-traded Canadian issuers to register securities offered in business combinations, mergers, and exchange offers requiring a shareholder vote. SEC Form F-8 may only be used if a circular for a takeover or a business combination is previously prepared. Securities registered

SEC Form F-N Definition

SEC Form F-N Definition

What Is SEC Form F-N? SEC Form F-N is a filing required of foreign banks, insurers, holding companies, and subsidiaries to make public securities offerings in the U.S. The Securities and Exchange Commission (SEC) form is a notification of the appointment of an agent for service by certain foreign institutions. and is part of the F series

SEC Form N-14 Definition

SEC Form N-14 Definition

What Is SEC Form N-14? SEC Form N-14 is a filing with the Securities and Exchange Commission (SEC) that may be used by all management investment companies and business development companies, as defined under Section 2(a)(48) of the Investment Company Act of 1940, to register certain types of transactions under the Securities Act of 1933.

SEC Form N-14AE Definition

SEC Form N-14AE Definition

What Is SEC Form N-14AE? SEC Form N-14AE is no longer used for registration filings to the Securities and Exchange Commission (SEC) regarding open-end funds. This obsolete form was replaced with SEC Form N-14. Key Takeaways The obsolete SEC Form N-14AE has been replaced with SEC Form N-14.Form N-14 is used for required filings regarding open-end

SEC Form N-17f-2

SEC Form N-17f-2

What Is SEC Form N-17f-2? SEC Form N-17f-2 is a filing with the Securities and Exchange Commission (SEC) that must be submitted by investment companies that have custody of securities or similar investments. The investment company is required to retain an independent public accountant to verify the company’s securities and similar investments that are held

SEC Form N-1A Definition

SEC Form N-1A Definition

What Is SEC Form N-1A? SEC Form N-1A is the required registration form for establishing open-end management companies. The form can be used for registering both open-end mutual funds and open-end exchange traded funds (ETFs). Key Takeaways SEC Form N-1A is a regulatory document required to form an open-ended fund manager in the U.S.The form

SEC Form N-2

SEC Form N-2

What Is SEC Form N-2? SEC Form N-2 is a filing with the Securities and Exchange Commission (SEC) that must be submitted by closed-end management investment companies to register under the Investment Company Act of 1940 and to offer their shares under the Securities Act of 1933. Form N-2 may be compared with SEC Form

SEC Form N-4

SEC Form N-4

What Is SEC Form N-4? SEC Form N-4 is a filing with the Securities and Exchange Commission (SEC) that must be submitted by all insurance company separate accounts organized as unit investment trusts offering variable annuity contracts. SEC Form N-4 is required under the Securities Act of 1933 and the Investment Company Act of 1940