SEC Form N-14AE



A form related to Form N-14, which, in general, is a form used to register securities issued by investment companies (mutual funds) in connection with business combinations and mergers pursuant to Rule 145 under the Securities Act of 1933. SEC Form N-14AE is an initial registration statement filed by an investment company to register securities with automatic effectiveness under Rule 488.


Rule 488 applies to investment companies excepted from the definition of investment companies by rules under the Investment Company Act of 1940, which regulates mutual funds. Rule 145 is designed to make available the protection by registration under the Securities Act of 1933 to investors that are offered securities in a merger or business transaction.

  1. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  2. Open-End Fund

    A type of mutual fund that does not have restrictions on the ...
  3. Mutual Fund

    An investment vehicle that is made up of a pool of funds collected ...
  4. Fund Manager

    The person(s) resposible for implementing a fund's investing ...
  5. Fund Company

    A commonly used term to describe an investment company, which ...
  6. Benchmark

    A standard against which the performance of a security, mutual ...
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