SEC Form N-14AE

DEFINITION of '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.

BREAKING DOWN 'SEC Form N-14AE'

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.

RELATED TERMS
  1. SEC Form N-5

    A filing with the Securities and Exchange Commission (SEC) required ...
  2. SEC Form 10

    A filing with the Securities and Exchange Commission (SEC), also ...
  3. SEC Form S-3

    A simplified security registration form from the SEC, open to ...
  4. SEC Form S-8

    A filing with the Securities and Exchange Commission (SEC) that ...
  5. SEC Form 8-K12G3

    A form that is an initial filing for the notification of securities ...
  6. SEC Form S-11

    A filing with the Securities and Exchange Commission (SEC) that ...
Related Articles
  1. Investing

    Policing The Securities Market: An Overview Of The SEC

    Find out how this regulatory body protects the rights of investors.
  2. Markets

    Understanding the SEC

    The SEC's triple mandate of investor protection, maintenance of orderly markets and facilitation of capital formation makes it a vital player in capital markets.
  3. Markets

    EDGAR: Investors' One-Stop-Shop For Company Filings

    You can learn a lot about any listed company through this system - if you know how to use it.
  4. Investing

    The Merger - What To Do When Companies Converge

    Learn how to invest in companies before, during and after they join together.
  5. Investing

    Series 63 Exam State Securities Administrator

    Learn what you need to know about the state securities administrator to pass the Series 63 exam.
  6. Markets

    Understand the SEC Rules on Equity Crowdfunding

    The SEC's adoption of equity crowdfunding rules, initiated under the JOBS Act, enables small investors to invest in companies that show early potential.
  7. ETFs & Mutual Funds

    Side-By-Side Management May Favor Hedge Over Mutual Funds

    Having your firm handle both investments can spell disaster for your returns.
  8. Investing

    Mergers and Acquisitions: Definition

    The Main Idea One plus one makes three: this equation is the special alchemy of a merger or an acquisition. The key principle behind buying a company is to create shareholder value over and ...
  9. Markets

    The SEC: A Brief History Of Regulation

    The SEC has continued to make the market a safer place and to learn from and adapt to new scandals and crises.
  10. Markets

    Understanding The Top SEC filing forms

    It's easier than ever to keep track of your SEC filing status online.
RELATED FAQS
  1. A corporation, which does virtually all of its business in the state where it has ...

    The correct answer is d) Rule 147 is a rule that allows for intrastate offerings to be exempt from the requirements of full ... Read Answer >>
  2. Should mutual funds be subject to more regulation?

    Understand whether mutual funds need stricter regulation. Learn what types of current and future regulations have been put ... Read Answer >>
  3. What are unregistered securities or stocks?

    Before securities, like stocks, bonds and notes, can be offered for sale to the public, they first must be registered with ... Read Answer >>
  4. How do I register for the CFA program for the first time?

    CFA Institute provides prospective CFA candidates with a couple registration options.1) Online Registration: This is the ... Read Answer >>
  5. How long is the validity period for a Series 63 exam if I have not been registered?

    Find out how registration begins using Series 63 results and how long scores are valid without registration. Learn more about ... Read Answer >>
  6. What is the difference between the rule of 70 and the rule of 72?

    Find out more about the rule of 70 and the rule of 72, what the two rules measure and the main difference between them. Read Answer >>
Hot Definitions
  1. Sell-Off

    The rapid selling of securities, such as stocks, bonds and commodities. The increase in supply leads to a decline in the ...
  2. Brazil, Russia, India And China - BRIC

    An acronym for the economies of Brazil, Russia, India and China combined. It has been speculated that by 2050 these four ...
  3. Brexit

    The Brexit, an abbreviation of "British exit" that mirrors the term Grexit, refers to the possibility of Britain's withdrawal ...
  4. Underweight

    1. A situation where a portfolio does not hold a sufficient amount of a particular security when compared to the security's ...
  5. Russell 3000 Index

    A market capitalization weighted equity index maintained by the Russell Investment Group that seeks to be a benchmark of ...
  6. Enterprise Value (EV)

    A measure of a company's value, often used as an alternative to straightforward market capitalization. Enterprise value is ...
Trading Center