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Form N-54A/A Filings

SEC Form N-54A/A is an amendment filing used by a business development company to revise a previously filed Form N-54A election to be subject to Sections 55 through 65 of the Investment Company Act of 1940. It updates the SEC record when changes or corrections are needed in the original election filing.

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What Is SEC Form N-54A/A?

SEC Form N-54A/A is an amendment to Form N-54A, which is filed pursuant to Section 54(a) of the Investment Company Act of 1940 by a business development company.

This form is typically filed when a company needs to correct, revise, or update information previously submitted in its election filing.

Form N-54A/A helps maintain an accurate SEC record of a company’s election to be regulated as a business development company.

Key elements typically found in SEC Form N-54A/A include:

  • Name of the business development company
  • Address of principal business office and telephone number
  • Name and address of the agent for service of process
  • Exchange Act registration status or reliance on Rule 12g-2
  • Related Investment Company Act file numbers, if applicable
  • State of organization, principal place of business, and authorized signatures

SEC Form N-54A/A Filing Deadlines

SEC Form N-54A/A does not have a fixed statutory filing deadline like certain transactional SEC forms. It is generally filed as needed when a previously submitted Form N-54A must be amended to reflect corrected or updated information, and it is accepted as an EDGAR submission type by the SEC.

Filing Stage Timeline Details
Prior Form N-54A Filing Prerequisite A Form N-54A filing generally must already exist before an amendment is submitted
Form N-54A/A Filing As needed Filed electronically with the SEC to amend a previously filed notification of election
Fixed Filing Deadline Not applicable No specific statutory deadline is stated for filing an amendment
Amendment Effect Upon filing / As applicable Updates the SEC record relating to the company’s election under Section 54(a)

Key Things to Know About Form N-54A/A Filing Rules

  • Amends an Earlier Election: Form N-54A/A is used to revise a previously filed Form N-54A, not to make the initial election itself.
  • Used by Business Development Companies: The filing relates to a company’s election to be subject to Sections 55 through 65 of the Investment Company Act of 1940.
  • No Fixed Filing Deadline: The amendment is generally filed when a correction, update, or other change to the original filing becomes necessary.
  • Original Form Still Controls the Election: The original Form N-54A establishes the election under Section 54(a), while Form N-54A/A updates that filing record.
  • Filed Through EDGAR: N-54A/A is a recognized SEC submission type for amended Form N-54A filings.

Filings such as Form N-54A/A update regulatory election information for business development companies. Related activity can be monitored through the most recent SEC filings section of the Insights of SEC Filings, and additional company-level insights are available in the new company SEC filers.

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