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Form 40-33/A Filings

SEC Form 40‑33/A is an amended filing used to update or correct information previously reported in an original SEC Form 40‑33 litigation disclosure.

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What Is SEC Form 40‑33/A?

SEC Form 40‑33/A is an amendment to Form 40‑33, filed under Section 33 of the Investment Company Act of 1940. It is used by registered investment companies to revise, clarify, or correct information previously submitted in connection with stockholder derivative actions or other civil litigation involving the fund’s insiders (such as officers, directors, advisers, trustees, or depositors).

This amended filing may be necessary if there are corrections to pleadings, updates to settlements, changes in judgments, or clarifications to previously disclosed litigation details. Form 40‑33/A ensures that the SEC’s records remain accurate, current, and complete.

Like the original filing, Form 40‑33/A supports transparency by allowing the SEC to monitor litigation that could affect the interests of investment company shareholders.

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

  • Updated or corrected identification of the investment company involved
  • Revised pleadings, complaints, or petitions
  • Clarifications to parties or litigation details
  • Updates to proposed settlements or judgments
  • Corrected certifications or authorized signatures

SEC Form 40‑33/A Filing Deadlines

SEC Form 40‑33/A does not have a recurring filing deadline. Instead, it must be filed promptly after a material update, correction, or clarification is identified in a previously filed Form 40‑33.

Trigger Event When Form 40‑33/A Is Filed Purpose
Error discovered in Form 40‑33 As soon as practicable Correct the SEC litigation record
Change in litigation status Promptly after the change Update compliance disclosures
Additional pleadings or settlements When finalized Supplement original filing
Administrative or clerical corrections Upon identification Maintain accuracy and compliance

Key Things to Know About Form 40‑33/A Filing Rules

  • Amendment Only: Form 40‑33/A can only be filed to amend an existing Form 40‑33 and cannot be used as a standalone filing.
  • Applies to Registered Investment Companies: Not foreign banks or non‑U.S. institutions.
  • Litigation‑Focused Disclosure: Updates litigation and derivative action information, not registration or financial performance.
  • Supports Transparency: Ensures shareholders and regulators have accurate records of legal disputes affecting funds.
  • Part of Section 33 Framework: Form 40‑33/A works alongside Form 40‑33 to provide complete litigation oversight.

To track investment company litigation amendments and shareholder derivative action updates, our platform helps you monitor filings such as Form 40-33/A, Form N-CSR/A, and Form 40-17G/A, keeping you informed about amended legal proceedings and compliance obligations affecting funds.

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