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.


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.

  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. Face-Amount Certificate Company

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

    A legal trust created to combine the voting power of shareholders. ...
  6. Novation

    1.The act of replacing one participating member of a contract ...
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