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Form 40-OIP/A Filings

SEC Form 40-OIP/A is an amendment filing used to update an application under the Investment Company Act of 1940 and/or the Investment Advisers Act of 1940 that is reviewed by the SEC’s Office of Insurance Products.

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What is the Form 40-OIP/A?

SEC Form 40-OIP/A is an amendment filing for applications under the Investment Company Act of 1940 and/or the Investment Advisers Act of 1940 that are reviewed by the SEC’s Office of Insurance Products. It is used to update, restate, correct, or supplement an existing 40-OIP application, including changes to requested relief, supporting facts, exhibits, or legal analysis, while the application remains pending with the SEC. The amendment becomes part of the application record on EDGAR.

Key elements typically found in SEC Form 40-OIP/A include:

  • Name of the applicant(s) and any related separate accounts or entities
  • SEC file number (typically beginning with “812-”)
  • Identification of the requested order(s) or exemptive relief and the statutory provisions relied upon
  • Description of the insurance product structure and the transactions or arrangements addressed
  • Updated statements of facts, legal analysis, conditions, and supporting exhibits
  • Signature, verification, and contact information for correspondence

Filings are submitted electronically through the SEC’s EDGAR system using the applicable submission type described in the SEC’s EDGARLink Online submission types.

SEC Form 40-OIP/A Filing Deadlines

SEC Form 40-OIP/A does not have a fixed periodic deadline. It is filed as needed to amend or supplement a pending application under the Investment Company Act and/or Investment Advisers Act that is routed for review by the Office of Insurance Products.

Filing Stage Timeline Details
Application Status Not applicable The underlying application remains pending until acted upon by the SEC
Form 40-OIP/A Filing As needed Filed to amend, restate, correct, or supplement a previously submitted 40-OIP application
SEC Review Process As needed The SEC may request revisions, additional information, or updated exhibits during review
SEC Action on Application Not applicable Relief is granted or denied through an SEC order or other applicable action, as relevant

Key Things to Know About Form 40-OIP/A Filing Rules

  • Amendment to a Pending Application:
    Form 40-OIP/A is used to amend an existing 40-OIP submission and is not the initial application filing.
  • Office of Insurance Products Review:
    This submission type is used for applications that are reviewed within the SEC’s Office of Insurance Products, including insurance-product-related structures and related requested relief.
  • Content Must Track the Requested Relief:
    Amendments typically update the factual record, legal analysis, conditions, and exhibits supporting the specific order(s) or exemptions being requested.
  • Filed Electronically on EDGAR:
    The amendment is filed on EDGAR and becomes part of the public application record, together with prior versions and any subsequent amendments.
  • Used on an As-Needed Basis:
    Because the filing is driven by the application process and SEC review, companies file Form 40-OIP/A when updates are required rather than on a recurring schedule.

To monitor insurance-product applications and related amendments, our platform helps you track filing activity through the SEC form type directory. If you want to track filings similar to Form 40-OIP/A, you may also want to check Form 40-OIP, Form 40-APP, and Form N-6. These related forms provide a fuller picture of how insurance-product applications and amendments are processed under the SEC’s Division of Investment Management.

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