Form 40-33 Filings

What Is SEC Form 40‑33?

SEC Form 40‑33 is required under Section 33 of the Investment Company Act of 1940. It is used to provide the SEC with copies of all pleadings, verdicts, or judgments filed in any civil action by a registered investment company (or a shareholder on its behalf) against an officer, director, investment adviser, trustee, or depositor of such company.

The purpose of the form is to allow the SEC to monitor litigation that could affect the interests of investment company shareholders. Unlike registration forms, Form 40‑33 is strictly a litigation‑related disclosure filing.

Key elements typically found in SEC Form 40‑33 include:

• Name of the investment company involved in the litigation
• Copies of the legal complaint or petition
• Identification of the parties (plaintiffs and defendants)
• The court where the action was filed
• Copies of any proposed settlements or final judgments

SEC Form 40‑33 Filing Deadlines

Filing is triggered by specific steps in a legal proceeding rather than a fixed calendar date.

Key Things to Know About Form 40‑33 Filing Rules

• Applies to Litigation: This is not a registration or financial report; it is a legal disclosure.
• 10‑Day Window: Filings must generally be made within 10 days of the triggering legal event.
• Covers Affiliates: Actions against investment advisers, trustees, or directors of the fund also trigger this filing.
• Public Record: These filings provide transparency regarding potential misconduct or internal disputes within a fund.

To track investment company litigation and shareholder derivative action activity, our platform helps you monitor filings such as Form 40-33, Form N-CSR, and Form 40-17G, keeping you informed about legal proceedings and compliance obligations affecting funds. Visit How to Search for SEC Filings to know more about tracking SEC filings & insight.