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Form 40-6B/A Filings

SEC Form 40‑6B/A is an amended filing used by Employees’ Securities Companies (ESCs) to update or correct information previously reported in an original SEC Form 40‑6B exempted application.

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What Is SEC Form 40‑6B/A?

SEC Form 40‑6B/A is an amendment to Form 40‑6B, filed under Section 6(b) of the Investment Company Act of 1940. It is used by employees’ securities companies-investment vehicles formed by employers for the benefit of their employees to revise, clarify, or correct information included in an earlier Form 40‑6B application for exempted relief.

This amended filing may be required if there are changes to the ESC’s organizational structure, corrections to disclosed information, updates to fund terms, or errors identified after the original filing. Form 40‑6B/A ensures that the SEC’s records remain accurate and complete for exempted applications.

Like the original Form 40‑6B, this amendment supports transparency and compliance by keeping exempted applications current and reliable.

Key elements typically found in SEC Form 40‑6B/A include:

  • Updated or corrected ESC identification details
  • Revisions to the description of the investment program
  • Corrections to exemptions requested under the 1940 Act
  • Updates to management, control, or affiliate information
  • Clarifications to legal arguments supporting exempted relief
  • Authorized certifications and signatures

SEC Form 40‑6B/A Filing Deadlines

SEC Form 40‑6B/A does not have a fixed or recurring filing deadline. Instead, it must be filed promptly after a material change or correction is identified in a previously filed Form 40‑6B. 

Trigger Event When Form 40‑6B/A Is Filed Purpose
Error discovered in Form 40‑6B As soon as practicable Correct the SEC-exempted application record
Change in ESC or fund terms Promptly after the change Update compliance disclosures
Additional information becomes available When finalized Supplement original filing
Administrative or clerical correction Upon identification Maintain accuracy and compliance

Key Things to Know About Form 40‑6B/A Filing Rules

  • Amendment Only: Form 40‑6B/A can only be filed to amend an existing Form 40‑6B and cannot be used as a standalone exempted application.
  • Applies to Employees’ Securities Companies: Not foreign issuers or general registrants.
  • Investment Company Act Focused: Updates exempted application information under the 1940 Act, not Exchange Act registration.
  • Does Not Replace Ongoing Obligations: Filing Form 40‑6B/A does not eliminate other compliance requirements once exempted relief is granted.
  • Part of the ESC exempted Framework: Form 40‑6B/A works alongside Form 40‑6B to ensure complete and accurate exempted applications.

To track investment company fidelity bond amendments and insurance coverage updates, our platform helps you monitor filings such as Form 40-6B/A, Form 40-17G/A, Form 40-17GCS/A, and Form N-17D-1/A, keeping you informed about amended bonding requirements and compliance safeguards for funds

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