SEC Form N-6EI-1

Dictionary Says

Definition of '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.

Investopedia Says

Investopedia explains 'SEC Form N-6EI-1'


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.

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