SEC Form N-8B-2



A filing with the Securities and Exchange Commission (SEC) that must be submitted by unit investment trusts other than separate accounts that are currently issuing securities, including unit investment trusts that are issuers of periodic payment plan certificates and unit investment trusts of which a management investment company is the sponsor or depositor. SEC Form N-8B-2 contains information about the trust's organization, its securities, the rights of holders, fees, operation, issuance of securities, receipt of payments, purchase and sale of underlying securities, redemption of securities, distributions, reinvestment, records and accounts, and more.


SEC Form N-8B-2 is also known as "Registration Statement of Unit Investment Trusts Which Are Currently Issuing Securities." This filing is required by Section 8(b) of the Investment Company Act of 1940, and is required to be submitted within three months after filing a notification of registration.

  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. Separate Account

    1. A privately managed investment account opened through a brokerage ...
  5. Unit Investment Trust - UIT

    An investment company that offers a fixed, unmanaged portfolio, ...
  6. Sponsor

    1. In the context of stocks, an influential investor who creates ...
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