Form 40-24B2 Filings

What Is SEC Form 40‑24B2?

SEC Form 40‑24B2 is filed under Rule 24b‑2 of the Investment Company Act of 1940. It applies specifically to registered investment companies (mutual funds and similar entities) that are required to submit information to the SEC under the Act.

This form is used to request confidential treatment for specific portions of filings that contain sensitive or proprietary information. The SEC reviews the information, but approved confidential portions are withheld from public release.

Form 40‑24B2 supports regulatory transparency while balancing the need to safeguard trade secrets, competitive data, or sensitive financial arrangements.

Key elements typically found in SEC Form 40‑24B2 include:

• Identification of the investment company filing the request
• Description of the filing for which confidentiality is requested
• Specific portions of information are requested to be kept confidential
• Legal justification for confidential treatment
• Duration requested for confidentiality protection
• Authorized signature certifying the request

SEC Form 40‑24B2 Filing Deadlines

SEC Form 40‑24B2 does not have a recurring filing deadline. Instead, it must be submitted at the time confidential information is provided to the SEC or concurrently with the related filing under the Investment Company Act.

Key Things to Know About Form 40‑24B2 Filing Rules

• Confidential Treatment Request Only: Form 40‑24B2 does not replace required filings; it only requests that certain information be withheld from public disclosure.
• Applies Under the Investment Company Act: This form is specific to filings governed by the Investment Company Act of 1940, not Exchange Act or Securities Act filings.
• Filed by Registered Investment Companies: Not foreign governments or non‑U.S. entities.
• SEC Review Required: Confidential treatment is not automatic and is granted at the SEC’s discretion.
• Time‑Limited Protection: Confidentiality approvals may apply for a specified period, after which information may become public unless extended.

To track investment company advertising and sales literature filings, our platform helps you monitor filings such as Form 40-24B2, Form N-1A, Form N-2, and Form 497, keeping you informed about fund marketing materials and disclosure compliance.