Form 40-APP/A Filings

What is the Form 40-APP/A?

Form 40-APP/A is an amended application that companies file with the SEC when they need to revise, supplement, or restate a previously submitted Form 40-APP request. This form is used in connection with applications under the Investment Company Act of 1940 that seek an SEC order granting exemptions or other regulatory relief, and it helps ensure the Commission has updated information while reviewing the requested relief and any related conditions under the Investment Company Act of 1940

This form typically includes amended narrative disclosures describing the relief requested, the legal basis for the request, supporting facts about the applicants and the proposed structure, and updates to terms, representations, or conditions. Applicants may file Form 40-APP/A to address SEC staff comments, reflect changes in the applicant’s structure or business, or clarify how the requested order would operate.

Some of the main components of a 40-APP/A include:

• Updated description of the applicants and the requested SEC order
• Revised legal and factual basis for the exemptive relief under the 1940 Act
• Amended terms, representations, and conditions supporting the application
• Responses to SEC staff comments or requests for clarification
• Any updated exhibits or supporting materials included with the amendment

SEC Form 40-APP/A Filing Deadlines

SEC Form 40-APP/A is an amendment to an application-based filing submitted under the Investment Company Act of 1940. Because it is filed to update or restate an existing application, there is no fixed statutory deadline, and it is generally submitted as needed based on SEC review, applicant updates, or changes to the requested relief. Here’s a quick rundown of how timing is generally handled for this filing.

Key Things to Know About 40-APP/A Filing Rules

Extension Option: Not applicable.

• Deadline Basis: Filings are made on an application and amendment basis, typically in response to SEC review, staff comments, or material updates to the original Form 40-APP request.
• Purpose of Form 40-APP/A: It updates or restates an Investment Company Act application seeking an SEC order for exemption or other relief, ensuring the Commission has current information to evaluate the request.
• To view real-time updates, our platform helps you navigate key SEC forms like the Form 40-APP Application and stay ahead in your research and reporting.

To track investment company exemptive relief amendments and updated SEC order applications, our platform helps you monitor filings such as Form 40‑APP/A, Form 40‑APP, Form N‑14/A, and Form N‑6/A, keeping you informed about amended requests for exemptions and regulatory relief under the Investment Company Act of 1940

To explore similar filings, check out our blog post: How to Search EDGAR Filings. It outlines key strategies for extracting useful insights and navigating the SEC database efficiently.