SEC Operations

There is also great interest in exchange-traded products based on bitcoin or other cryptocurrencies. As I have mentioned in the past, I am concerned that ...

Be aware that the SEC’s Division of Investment Management has changed nine key forms should your firm have to file any of these. The links ...

The following forms on the Commission’s website have been updated to reflect amendments recently adopted by the Commission: Form N-1A; Form N-2 ; Form N-3; ...

Form N-2 is to be used by closed-end management investment companies, except small business investment companies licensed as such by the United States Small Business ...

Form N-3 shall be used by all separate accounts offering variable annuity contracts which are registered under the Investment Company Act of 1940 (“1940 Act”) ...

Form N-4 shall be used by all separate accounts offering variable annuity contracts which are registered under the Investment Company Act of 1940 (“1940 Act”) ...

Form N-5 is to be used for registration under the Securities Act of 1933 of securities issued by any small business investment company which is ...

Form N-6 is to be used by separate accounts that are unit investment trusts that offer variable life insurance contracts to register under the Investment ...

This form shall be used as the form for registration statements to be filed, pursuant to Section 8(b) of the Investment Company Act of 1940, ...

Form N-14 may be used by all management investment companies registered under the Investment Company Act of 1940 (“1940 Act” or“Investment Company Act”)andbusiness development companies ...