Form 40-17G/A Filings

What Is SEC Form 40‑17G/A?

SEC Form 40‑17G/A is an amendment to Form 40‑17G, filed under Rule 17g‑1 of the Investment Company Act of 1940, not the Securities Exchange Act of 1934. It is used by registered investment companies (mutual funds) to revise, clarify, or correct information related to fidelity bond coverage.

This amended filing ensures that the SEC has accurate and current information regarding insurance or bonding arrangements that protect against losses caused by dishonest or fraudulent acts. Form 40‑17G/A may be required when bond details change, coverage amounts are updated, providers are replaced, or errors are discovered in the original filing.

Form 40‑17G/A supports continued transparency and compliance within the SEC’s custody and safeguarding framework for investment companies.

Key elements typically found in SEC Form 40‑17G/A include:

• Updated or corrected fidelity bond or insurance details
• Revised coverage amounts or policy terms
• Changes to bonding or insurance providers
• Clarifications to previously disclosed protections
• Authorized certification confirming Rule 17g‑1 compliance

SEC Form 40‑17G/A Filing Deadlines

SEC Form 40‑17G/A does not have a fixed filing deadline. Instead, it must be filed promptly after a material update or correction is identified in a previously filed Form 40‑17G.

Key Things to Know About Form 40‑17G/A Filing Rules

• Amendment Only: Form 40‑17G/A can only be filed to amend a previously submitted Form 40‑17G.
• Applies to Registered Investment Companies: Not foreign governments, central banks, or political subdivisions.
• Bonding Disclosure Focused: Updates fidelity bond and insurance information, not custody location or transaction activity.
• Does Not Replace Original Filing Obligations: Supplements the original filing but does not eliminate ongoing compliance requirements.
• Part of Rule 17 Safeguards: Form 40‑17G/A works alongside Forms 40‑17F1, 40‑17F2, and 40‑17G to support comprehensive safeguarding oversight for investment companies.

To track investment company fidelity bond amendments and insurance compliance updates, our platform helps you monitor filings such as Form 40-17G/A, Form N-CSR/A, and Form 40-17F2/A, keeping you informed about amended bonding requirements and custody safeguards.