SEC Form N-5



A filing with the Securities and Exchange Commission (SEC) required to register the securities of a small business investment company. The company must be registered under the Small Business Investment Act of 1958 or have gained the approval of the Small Business Administration to submit a license application.


Form N-5 is also known as the Registration Statement of Small Business Investment Companies Under The Securities Act of 1933 and the Investment Company Act of 1940. This form is part of the small business forms, regulations, and rules. It can be filed under both of the aforementioned acts, or one of the two. If the registration statement is to be filed under just one of the acts, all references to the other act must be omitted from the form.

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