SEC Form N-6EI-1

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.

BREAKING DOWN '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.

RELATED TERMS
  1. SEC Form N-8A

    A filing with the Securities and Exchange Commission (SEC) that ...
  2. SEC Form 1

    An application for and amendments to an application for registration ...
  3. SEC Form N-6F

    A filing with the Securities and Exchange Commission (SEC) that ...
  4. SEC Form N-6

    A filing with the Securities and Exchange Commission (SEC) that ...
  5. SEC Form N-3

    A filing with the Securities and Exchange Commission (SEC) that ...
  6. SEC Form N-1A

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

    How A Company Files With The SEC

    Filing with the SEC is not as complicated as you might thing -- just be meticulous about following the steps.
  2. Markets

    SEC Filings: Forms You Need To Know

    The forms companies are required to file provide a clear view of their histories and progress.
  3. Investing

    Popular Resources for Equity Research and Analysis: Chapter 2: The SEC Website

    Second to the company investor relations sites is the direct SEC website at www.sec.gov. Investors can learn quite a bit about the securities industry from the SEC. The forms page, which details ...
  4. 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.
  5. Investing

    Policing The Securities Market: An Overview Of The SEC

    Find out how this regulatory body protects the rights of investors.
  6. Personal Finance

    Are You Missing Out On These Tax Exemptions?

    To lower your tax bill, make sure that you're taking all the exemptions that apply to you.
  7. Markets

    What's the SEC?

    The Securities and Exchange Commission (SEC) is an independent agency of the United States government. The mission of the SEC is to enforce securities laws passed by congress. These laws aim ...
  8. Investing

    What You Must Know To Pass The Series 6 Exam

    Learn what you need to know about the creation and components of a mutual funds to pass the Series 6 exam.
  9. Personal Finance

    What IRS Form 990 Tells About a Nonprofit

    Want a picture of an organization's activities? This annual form, open to the public, sums up everything from salaries paid to missions accomplished.
  10. Personal Finance

    Life Insurance

    Life insurance is an important component of basic financial planning. Find out how life insurance works and how insurance companies are able to profit through providing financial security to ...
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. What would the estate tax be on life insurance policy of $25,000?

    $25,000 was paid to the beneficiary of a life insurance policy. What would the estate tax be and do you have to pay an estate ... 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 know if I am buying unregistered securities or stocks?

    All securities, including stocks, bonds and notes, must be registered with the Securities and Exchange Commission (SEC) before ... Read Answer >>
  5. How is trading volume regulated by the Securities and Exchange Commission (SEC)?

    Learn about how the SEC uses the trading volume formula as one requirement for an exemption to the ban on the resale of restricted ... Read Answer >>
  6. What property / belongings can I keep after filing bankruptcy?

    Discover which types of property you can keep after filing bankruptcy by listing them as exempt from normal liquidation proceedings. Read Answer >>
Hot Definitions
  1. European Union - EU

    A group of European countries that participates in the world economy as one economic unit and operates under one official ...
  2. Sell-Off

    The rapid selling of securities, such as stocks, bonds and commodities. The increase in supply leads to a decline in the ...
  3. 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 ...
  4. Brexit

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

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

    A market capitalization weighted equity index maintained by the Russell Investment Group that seeks to be a benchmark of ...
Trading Center