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.
BREAKING DOWN 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.