Form 40-8B25 Filings
SEC Form 40-8B25 is a formal application filed by a registered investment company to request an extension of time for filing required information, documents, or reports under the Investment Company Act of 1940.
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| ID | Form | Filer Name | Filing Agent | Date | Actions | |
|---|---|---|---|---|---|---|
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What Is SEC Form 40-8B25?
SEC Form 40-8B25 is filed pursuant to Rule 8b-25 of the Investment Company Act. It allows a registered management investment company to request extra time if it is truly impractical to meet a deadline for a specific filing, such as an annual report or a Form N-CSR.
This form acts as a \"hardship\" request. Unlike the automatic extensions sometimes granted to corporate issuers (via Form NT/12b-25), Form 40-8B25 requires a narrative explanation of the specific facts and circumstances—such as audit delays or ongoing internal investigations—that make a timely filing impossible.
Key elements typically found in SEC Form 40-8B25 include:
- Registrant Information: The exact name and Investment Company Act file number.
- The Delayed Item: Specific identification of the report or document in question.
- Reason for Delay: A detailed statement explaining why it is impractical to furnish the information.
- Requested Date: The specific new deadline the company is proposing.
SEC Form 40-8B25 Filing Deadlines
This is not a recurring filing; it is triggered by the inability to meet another deadline.
| Trigger Event | When Form 40-8B25 Is Filed | Purpose |
| Impracticality of Filing | Before or at the time the original report is due | Request a formal extension from the SEC |
| Need for Registration Extension | Within 3 months of an N-8A notification | Request a 60-day extension to file a full registration statement |
Key Things to Know About Form 40-8B25 Filing Rules
- Not Automatic: The application is generally deemed granted unless the SEC enters an order denying it within 10 days of receipt.
- Different from Form NT: While corporate issuers use Form NT (12b-25) for late filings, investment companies use 40-8B25 specifically for the 1940 Act requirements.
- 60-Day Limits: For registration statements, Rule 8b-25 often limits extensions to 60-day increments.
To track investment company advertising and sales literature submissions, our platform helps you monitor filings such as Form 40-8B25, Form 24B-2, Form N-1A, and Form 4970, keeping you informed about fund marketing materials and disclosure compliance
