SEC Form N-8A

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.

BREAKING DOWN '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. SEC Form 1

    An application for and amendments to an application for registration ...
  2. SEC Form N-5

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

    A filing with the Securities and Exchange Commission (SEC) that ...
  4. SEC Form 8-A

    A filing with the Securities and Exchange Commission (SEC), also ...
  5. SEC Form S-6

    A filing with the Securities and Exchange Commission (SEC), which ...
  6. SEC Form N-8B-4

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

    State Authority over Federal Covered Securities

    FINRA/NASAA Series 65 - State Authority over Federal Covered Securities. In this section exchage-listed securuties, investment company shares and initial pyblic offering.
  2. Professionals

    Registration by Coordination

    FINRA/NASAA Series 66 - Registration by Coordination. This section describes the procedure for registration by coordination.
  3. Professionals

    Federal Covered Securities

    FINRA/NASAA Series 66 - Federal Covered Securities. This section explains federal covered securities and sample exam questions.
  4. Professionals

    Registration by Coordination

    FINRA/NASAA Series 63 - Registration by Coordination. In this section filiing requirements for registartion by coorrdination and how a registration becomes effective.
  5. Professionals

    Investment Company Registration, Regulations and Rules

    FINRA Series 6: Section 10 Investment Company Registration, Regulations and Rules. In this section: The Investment Company Act of 1940 and The Securities Act of 1933.
  6. Professionals

    Registration and Licensing (Contd.)

    Registration and Licensing (Contd.)
  7. Professionals

    Other Definitions

    FINRA/NASAA Series 66 - Other Definitions. This section contains other important definitions required for the exam. Make sure you do not skip this section!
  8. Professionals

    Registration of Investment Companies

    FINRA/NASAA Series 66 Section 1 - Registration of Investment Companies. In this section investment company act of 1940: Section 8, the securities act of 1933 prospectus and the statement of additional ...
  9. Professionals

    Introduction

    The Securities Act of 1933 was the first major piece of securities industry regulation that was brought about largely as a result of the stock market crash of 1929. Other major laws were also ...
  10. Professionals

    Securities Regulation

    FINRA/NASAA Series 65 - Securities Regulation. In this section securities registartion exemptions and registering a security.
RELATED FAQS
  1. If an issuer wishes to register a security in the state ...

    The correct answer is a. Registration by coordination is permitted when the issuer has filed a registration application with ... Read Answer >>
  2. How does piggyback registration work?

    Registration rights ensure that companies cooperate during the registration process through which investors register shares ... Read Answer >>
  3. How long is the validity period for a Series 63 exam if I have not been registered?

    Find out how registration begins using Series 63 results and how long scores are valid without registration. Learn more about ... Read Answer >>
  4. Can you trade securities before you pass the Series 63 exam?

    Find out more about state registration and Series 63 exam scores. Learn how long these scores are valid and how registration ... Read Answer >>
  5. 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 >>
  6. 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 >>
Hot Definitions
  1. Return On Invested Capital - ROIC

    A calculation used to assess a company's efficiency at allocating the capital under its control to profitable investments. ...
  2. Law Of Demand

    A microeconomic law that states that, all other factors being equal, as the price of a good or service increases, consumer ...
  3. Cost Of Debt

    The effective rate that a company pays on its current debt. This can be measured in either before- or after-tax returns; ...
  4. Yield Curve

    A line that plots the interest rates, at a set point in time, of bonds having equal credit quality, but differing maturity ...
  5. Stop-Limit Order

    An order placed with a broker that combines the features of stop order with those of a limit order. A stop-limit order will ...
  6. Keynesian Economics

    An economic theory of total spending in the economy and its effects on output and inflation. Keynesian economics was developed ...
Trading Center