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
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
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
What Is SEC Form N-6? SEC Form N-6 is a form that certain trust accounts must file with the Securities and Exchange Commission (SEC). The SEC is a regulatory agency that helps to help prevent fraud and other forms of deception involving the financial markets. The SEC monitors the activities and recordkeeping of publicly-traded companies
What Is SEC Form N-PX? The SEC Form N-PXÂ is to be completed by mutual funds and other registered management investment companies to disclose procedures for proxy votes. This details to investors how funds vote proxies related to different securities they hold. The form is filed each year with the Securities and Exchange Commission (SEC) for
What Was SEC Form N-SAR? SEC Form N-SAR is a U.S. Securities and Exchange (SEC) filing that is specific to registered investment management companies. It requires that those companies disclose important financial information (e.g., any sales of shares or their portfolio turnover rate). This information is usually included in the company’s shareholder reports. Form N-SAR was
What Is SEC Form NSAR-A? SEC Form NSAR-A was a semi-annual filing with the Securities and Exchange Commission (SEC) that registered the financial information of investment management companies at the end of the first six months of their fiscal year (FY) as part of their N-SAR form filing requirement. The form was phased out in
What Is SEC Form NT 10-Q? SEC Form NT 10-Q is a Securities and Exchange Commission (SEC) filing required for companies that will not be able to submit their 10-Q filing (for quarterly financial results) by the SEC deadline or in a timely manner. Mandated by SEC rule 12b-25, Form NT 10-Q requires the registrant’s
What Is SEC Form PRE 14A? SEC Form PRE 14A, also known as a preliminary proxy statement, is a form that is filed with the Securities and Exchange Commission (SEC) when a company holds a shareholder vote is required on an issue not related to a contested matter or merger/acquisition. Form PRE 14A is normally
What Is SEC Form PRE 14C? SEC Form PRE 14C is a preliminary document filed with the Securities and Exchange Commission (SEC). It must be filed by a registrant prior to its annual or special shareholder meetings to provide preliminary information related to a subject other than a merger, contested solicitation, or special meeting. The
