SEC Form N-8A

The SEC Form N-8A is a filing that must be submitted by an investment company registering under and pursuant to section 8(a) of the Investment Company Act of 1940. SEC Form N-8A contains information on the type of investment company (face-amount certificate company, unit investment trust or management company), whether the registrant's securities are publicly available, total current value of assets, whether the registrant has applied or intends to apply for a license to operate as a small business investment company under the Small Business Investment Act of 1958, and a copy of the registrant's last regular periodic report to its security holders, if any.

SEC Form N-8A is also known as "notification of registration filed pursuant to section 8(a) of the Investment Company Act of 1940." The SEC uses this form in its inspection, policymaking, regulatory and disclosure review roles.

The Investment Company Act of 1940 was created through an act of Congress to require investment company registration and regulate the product offerings issued by investment companies in the public market. This piece of legislation clearly defines the responsibilities and requirements of investment companies as well as the requirements for publicly traded investment product offerings including open-end mutual funds, closed-end mutual funds, and unit investment trusts. It primarily targets publicly traded retail investment products. The Act contains 65 sections.

More specifically, Section 8 of the Code establishes the Commission's rules and regulations pertaining to any investment company registered under the laws of the United States or any State. The Commission will thereafter issue any necessary or appropriate rule or regulation in the public interest or for the protection of investors. Section 8 subsections cover (a) notification of registration, including an effective date of registration (b) registration statement, contents (which includes business activities and investment policies) (c) alternative information (copies of reports filed under separate requirements) (d) registration of unit investment trusts (e) failure to file registration or omissions of material fact (f) cessation of existence as investment company.