What is 'SEC Form N-17D-1'

SEC Form N-17d-1 is a form that must be filed with the SEC by a small business investment company (SBIC) and by a bank that is affiliated with the SBIC. The form must be filed by an SBIC licensed under the Small Business Investment Act of 1950, and its affiliated bank.

BREAKING DOWN 'SEC Form N-17D-1'

SEC Form N-17D-1 is required under rule 17D-1 of the Investment Company Act of 1940. It must be filed semiannually within 30 days after the end of the six-month period in which one of the following events occurs: investment in a small business concern, or disposition, default, modification or extension of any investment of the SBIC. The SEC uses the information to collect details of transactions by SBICs and their affiliated banks.

RELATED TERMS
  1. Small Business Investment Company ...

    Though privately-owned, a small business investment company is ...
  2. SEC Form N-54A

    SEC Form N-54A is filing with the SEC by business development ...
  3. SEC Form 497

    SEC Form 497 is a document that investment companies must use ...
  4. SEC Form N-5

    A filing with the Securities and Exchange Commission (SEC) required ...
  5. SEC Form N-SAR

    SEC Form N-SAR is a U.S. Securities and Exchange (SEC) filing ...
  6. SEC Form S-8

    SEC Form S-8 is a registration form for securities offered as ...
Related Articles
  1. Taxes

    How A Company Files With The SEC

    Filing with the SEC is not as complicated as you might thing -- just be meticulous about following the steps.
  2. Investing

    SEC Filings: Forms You Need To Know

    The forms companies are required to file provide a clear view of their histories and progress.
  3. Insights

    Understanding the SEC

    The SEC's triple mandate of investor protection, maintenance of orderly markets and facilitation of capital formation makes it a vital player in capital markets.
  4. Investing

    Understanding The Top SEC filing forms

    It's easier than ever to keep track of your SEC filing status online.
  5. Financial Advisor

    Advisors Face More SEC Reporting Requirements

    The SEC has mandated that investment advisors provide more disclosure on separately managed accounts and performance numbers used in advertising.
  6. Taxes

    Late with Your Taxes? Grab IRS Form 4868

    Fill out this form to get a few more months to file your tax return. But remember, April 15 (17, in 2018) is still the payment due date if you owe taxes.
  7. Insights

    Understand the SEC Rules on Equity Crowdfunding

    The SEC's adoption of equity crowdfunding rules, initiated under the JOBS Act, enables small investors to invest in companies that show early potential.
  8. Personal Finance

    Affiliate Marketing: Can It Really Make You Money?

    Affiliate marketing offers a way to generate passive income online, but it takes time and money to make it a serious enterprise.
  9. Financial Advisor

    Next Target for Lobbyists: SEC Best Interest Rule

    The same interest groups and lobbyists that worked to take down the fiduciary rule are now taking aim at the new SEC's proposed best interest rule.
RELATED FAQS
  1. How does FINRA differ from the SEC?

    Discover how Securities and Exchange Commission (SEC) is different from the Financial Industry Regulatory Authority (FINRA) ... Read Answer >>
  2. How often do mutual funds report their holdings?

    Learn how mutual funds are required by the Securities and Exchange Commission to disclose their portfolio holdings on a quarterly ... Read Answer >>
  3. When must a company announce earnings?

    The Securities & Exchange Commission (SEC) requires companies to file earnings reports no later than 45 days after the end ... Read Answer >>
  4. How are asset management firms regulated?

    Find out how the asset management industry is regulated and how those regulations fit within the broader scope of financial ... Read Answer >>
Trading Center