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.


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.

  1. Security

    A financial instrument that represents an ownership position ...
  2. Investment Company Act Of 1940

    Created in 1940 through an act of Congress, this piece of legislation ...
  3. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  4. Unit Investment Trust - UIT

    An investment company that offers a fixed, unmanaged portfolio, ...
  5. Small Business Investment Company ...

    A privately-owned investment company that is licensed by the ...
  6. Face-Amount Certificate Company

    A type of investment firm that issues debt securities to its ...
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