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Form N-23C3B Filings

SEC Form N-23C3B is a formal filing used by registered closed-end investment companies and business development companies to notify the SEC of a repurchase offer made pursuant to Rule 23c-3(c) only on Form N-23C-3.

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What Is SEC Form N-23C3B?

SEC Form N-23C3B is a filing under Rule 23c-3 used by eligible registered closed-end investment companies or business development companies when making a discretionary repurchase offer under paragraph (c). It is submitted on Form N-23C-3 and provides the SEC with basic notice information about the offer.

Key elements typically found in SEC Form N-23C3B include:

  • Investment Company Act file number and date of notification
  • Exact name of the investment company
  • Address of principal executive office
  • Identification that the filing pertains to a discretionary repurchase offer under Rule 23c-3(c)
  • Authorized signature, name, and title
  • Confirmation that the filing is made on Form N-23C-3

SEC Form N-23C3B Filing Deadlines

SEC Form N-23C3B has specific timing requirements that applicable funds must follow after sending the related notification to shareholders. These deadlines are important to support regulatory compliance and timely notice to the Commission.

Filing Stage Timeline Details
Shareholder Notification As needed The filing is event-driven and relates to a discretionary repurchase offer under Rule 23c-3(c).
Form N-23C3B Filing Within 3 business days after shareholder notification is sent The submission is made electronically on Form N-23C-3.
Repurchase Offer Type Not applicable This submission type is used for filings pursuant to Rule 23c-3(c) only.
EDGAR Submission As needed Form N-23C3B is an EDGAR submission type accepted for this filing obligation.

Key Things to Know About Form N-23C3B Filing Rules

  • Discretionary Repurchase Offer Filing: Form N-23C3B is used for filings made pursuant to Rule 23c-3(c) only on Form N-23C-3.
  • Applies to Specific Fund Types: The form is completed by registered closed-end investment companies and business development companies that make repurchase offers under Rule 23c-3.
  • Attached to Shareholder Notice: The form is attached to the notification sent to shareholders under paragraph (b)(4) of Rule 23c-3.
  • Short Filing Window: The submission must be filed within three business days after the shareholder notification is sent.
  • Basic Notice Information Required: The filing includes identifying information for the fund, the type of repurchase offer, and the authorized signature details.

To monitor repurchase offer filings, fund disclosures, and related EDGAR activity, our platform helps you review funds filing insights, forms such as Form N‑23C3A and Form N‑23C3B. Investors often review the guidance of advanced search techniques of SEC Filings.

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