SEC Form N-6EI-1

AAA

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 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.

RELATED TERMS
  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

    A company or other entity that administers the public issuance ...
  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 ...
RELATED FAQS
  1. Where can I find a company's annual report and its SEC filings?

    Thanks to the Internet, finding financial reports is easier than ever. Nowadays, every reputable company has an investor ... Read Full Answer >>
Related Articles
  1. Investing Basics

    SEC Filings: Forms You Need To Know

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

    Policing The Securities Market: An Overview Of The SEC

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

    Who's Looking Out For Investors?

    If your account has been mishandled, FINRA and the SEC are among several organizations that can help.
  4. Taxes

    Is It Smart To Get Dual Citizenship?

    Does it ever make sense to be a citizen of the U.S. and somewhere else? Yes, so you can work minus a visa – not so much, if you get drafted into the army.
  5. Retirement

    Expat In America: Visas To Retire In the U.S.

    It isn't easy for non-citizens to retire in the United States unless a family member is already a citizen. But some visas will allow for longer visits
  6. Mutual Funds & ETFs

    The Impact of the Janus Market Timing Ruling

    A look at the impact of the Janus Supreme Court ruling on market timing.
  7. Options & Futures

    Get To Know These Crucial US Options Market Regulations

    How are options regulated in the U.S and which organizations are involved in options market regulations?
  8. Economics

    The Impact Of Ending The US Embargo On Cuba

    Many argue that ending the US embargo on Cuba will not only make US consumers happy, but also help the US economy and bring more freedoms to Cuba.
  9. Economics

    Popular Places Where U.S. Citizens Need A Visa

    A U.S. passport will get you into many countries, but not everywhere. Here's how to visit five of the most popular destinations that require visas.
  10. Economics

    Are You the Victim of Unfair Labor Practices?

    If you are a union member, a union leader, or a manager at a company with an established union, you should understand unfair labor practices.

You May Also Like

Hot Definitions
  1. Interest Rate Risk

    The risk that an investment's value will change due to a change in the absolute level of interest rates, in the spread between ...
  2. Income Effect

    In the context of economic theory, the income effect is the change in an individual's or economy's income and how that change ...
  3. Price-To-Sales Ratio - PSR

    A valuation ratio that compares a company’s stock price to its revenues. The price-to-sales ratio is an indicator of the ...
  4. Hurdle Rate

    The minimum rate of return on a project or investment required by a manager or investor. In order to compensate for risk, ...
  5. Market Value

    The price an asset would fetch in the marketplace. Market value is also commonly used to refer to the market capitalization ...
  6. Preference Shares

    Company stock with dividends that are paid to shareholders before common stock dividends are paid out. In the event of a ...
Trading Center