SEC Form N-8B-4

AAA

DEFINITION of 'SEC Form N-8B-4'

A filing with the Securities and Exchange Commission (SEC) that must be submitted by all face-amount certificate companies. The SEC Form N-8B-4 contains information about the registrant's organization, control, voting trusts, concentration of investments, investments in securities, purchase and sale of real estate, borrowing money, purchase and sale of commodities, portfolio turnover, loans, and face amount certificates, along with other items.

INVESTOPEDIA EXPLAINS 'SEC Form N-8B-4'

SEC Form N-8B-4 is also known as "Registration Statement of Face-Amount Certificate Companies." This filing is required by Section 8(b) of the Investment Company Act of 1940. The SEC uses the information on this form to provide investors with basic information about face-amount certificate companies.

RELATED TERMS
  1. Investment Company Act Of 1940

    Created in 1940 through an act of Congress, this piece of legislation ...
  2. Voting Trust

    A legal trust created to combine the voting power of shareholders. ...
  3. Securities And Exchange Commission ...

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

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

    A type of investment firm that issues debt securities to its ...
  6. Licensed For Reinsurance Only

    A license that allows a company to engage in services related ...
Related Articles
  1. SEC Filings: Forms You Need To Know
    Investing Basics

    SEC Filings: Forms You Need To Know

  2. Get A Job In Compliance
    Professionals

    Get A Job In Compliance

  3. Policing The Securities Market: An Overview ...
    Investing Basics

    Policing The Securities Market: An Overview ...

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

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

Hot Definitions
  1. Debit Spread

    Two options with different market prices that an investor trades on the same underlying security. The higher priced option ...
  2. Leading Indicator

    A measurable economic factor that changes before the economy starts to follow a particular pattern or trend. Leading indicators ...
  3. Wage-Price Spiral

    A macroeconomic theory to explain the cause-and-effect relationship between rising wages and rising prices, or inflation. ...
  4. Accelerated Depreciation

    Any method of depreciation used for accounting or income tax purposes that allows greater deductions in the earlier years ...
  5. Call Risk

    The risk, faced by a holder of a callable bond, that a bond issuer will take advantage of the callable bond feature and redeem ...
  6. Parity Price

    When the price of an asset is directly linked to another price. Examples of parity price are: 1. Convertibles - the price ...
Trading Center