SEC Form N-8A

AAA

DEFINITION of 'SEC Form N-8A'

A filing with the Securities and Exchange Commission (SEC) that must be submitted by an investment company registering under and pursuant to section 8(a) of the Investment Company Act of 1940. SEC Form N-8A contains information on the type of investment company (face-amount certificate company, unit investment trust or management company), whether the registrant's securities are publicly available, total current value of assets, whether the registrant has applied or intends to apply for a license to operate as a small business investment company under the Small Business Investment Act of 1958, and a copy of the registrant's last regular periodic report to its securityholders, if any.

INVESTOPEDIA EXPLAINS 'SEC Form N-8A'

Form N-8A is also known as "notification of registration filed pursuant to section 8(a) of the Investment Company Act of 1940." The SEC uses this form in its inspection, policymaking, regulatory and disclosure review roles.

RELATED TERMS
  1. Investment Company Act Of 1940

    Created in 1940 through an act of Congress, this piece of legislation ...
  2. Small Business Investment Company ...

    A privately-owned investment company that is licensed by the ...
  3. Unit Investment Trust - UIT

    An investment company that offers a fixed, unmanaged portfolio, ...
  4. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  5. Security

    A financial instrument that represents: an ownership position ...
  6. Face-Amount Certificate Company

    A type of investment firm that issues debt securities to its ...
Related Articles
  1. Investing Basics

    SEC Filings: Forms You Need To Know

  2. Investing Basics

    Policing The Securities Market: An Overview ...

  3. Investing

    Where can I find a company's annual ...

  4. Investing

    What happens to the fines collected ...

Hot Definitions
  1. Capitulation

    When investors give up any previous gains in stock price by selling equities in an effort to get out of the market and into ...
  2. Turkey

    Slang for an investment that yields disappointing results or turns out worse than expected. Failed business deals, securities ...
  3. Conduit Issuer

    An organization, usually a government agency, that issues municipal securities to raise capital for revenue-generating projects ...
  4. Financing Entity

    The party in a financing arrangement that provides money, property, or another asset to an intermediate entity or financed ...
  5. Hyperinflation

    Extremely rapid or out of control inflation. There is no precise numerical definition to hyperinflation. Hyperinflation is ...
  6. Gross Rate Of Return

    The total rate of return on an investment before the deduction of any fees or expenses. The gross rate of return is quoted ...
Trading Center