SEC Form N-6EI-1



A filing with the Securities and Exchange Commission (SEC) that must be submitted by life insurers that have established separate accounts that are exempt from submitting the notification of registration required by Section 8(a) of the Investment Company Act of 1940. SEC Form N-6EI-1 contains identifying information about the life insurance company as well as information about the separate account such as the date it was established, the specific laws under which it was organized, directors, trustees, and senior officers of the separate account, the name of the separate account's investment adviser, the name of the principal underwriter for the variable life insurance contracts, investment objectives, policies, and techniques, and more.


Form N-6EI-1 is also called "Notification of Claim of Exemption Pursuant to Rule 6e-2 or 6e-3(T) Under The Investment Company Act of 1940." This form allows the SEC to monitor the number and types of separate accounts operating pursuant to the exemptions provided by the rule.

  1. Investment Company Act Of 1940

    Created in 1940 through an act of Congress, this piece of legislation ...
  2. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  3. Life Insurance

    A protection against the loss of income that would result if ...
  4. Underwriter

    An underwriter is a company or other entity that administers ...
  5. Separate Account

    1. A privately managed investment account opened through a brokerage ...
  6. Variable Life Insurance Policy

    A form of permanent life insurance, Variable life insurance provides ...
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