What are registration forms?
Registration forms are documents notifying the SEC of the issuer’s intent to operate as an investment company in accordance with U.S. regulations.
The first document that must be filed with the SEC is a notification of registration on SEC Form N-8A, followed within three months by a registration statement on the appropriate SEC form for the type of investment or securities company the issuer is registering. Registration forms that the issuer may submit include; SEC Form N-1A for mutual funds, SEC Form N-2 for closed-end funds, SEC Form N-3 for separate accounts offering variable annuity contracts with management investment companies, SEC Form N-4 for separate accounts offering variable annuity contracts with unit investment trusts (UITs) and SEC Form N-6 for separate accounts offering variable life insurance policies with UITs. For support and additional information, explore our investment company compliance solutions.