Form N-8B-4 under the Investment Company Act of 1940 - Registration Statement of Face-Amount Certificate Companies

Section 8(b) of the Investment Company Act of 1940 (the “Act”) requires every registered investment company to file a registration statement with the Commission that includes certain information about the company and recites the company’s policies on certain significant matters. Form N-8B-4 under the Act (17 CFR 274.14) is the form used by face-amount certificate companies to satisfy these requirements. Among other things, the form requires a face-amount certificate company to disclose information about the date and form of organization of the company, securities issued, its controlling persons, and its current and contemplated business. Additionally, the form requires disclosure about the face-amount certificate company’s fundamental policies, including its investment, borrowing, and lending policies. Further, the form requires a face-amount certificate company to provide financial statements as well as disclosures about the company’s investment adviser, depositaries, management personnel, and the compensation paid to directors, officers, and certain employees. The Commission uses the information provided in the collection of information to determine a face-amount certificate company’s compliance with Section 8(b) of the Act.

The latest form for Form N-8B-4 under the Investment Company Act of 1940 - Registration Statement of Face-Amount Certificate Companies expires 2029-06-30 and can be found here.

SEC filings made via the EDGAR database are searchable on SEC.report, along with a feed of the latest filings for OMB 3235-0247: Form N-8B-4 filings .