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Form N-8B-2/A Filings

SEC Form N-8B-2/A is a formal filing used to amend a previously filed Form N-8B-2 registration statement for unit investment trusts that are currently issuing securities. It is filed to update, correct, or supplement information previously provided to the SEC.

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ID Form Filer Name Filing Agent Date Actions
23107129N-8B-2/AAdvisors Disciplined Trust Series 1 Self 09/08/2026
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What Is SEC Form N-8B-2/A?

SEC Form N-8B-2/A is an important filing required under Section 8(b) of the Investment Company Act of 1940. It is used by unit investment trusts to amend a previously filed Form N-8B-2 registration statement when updating disclosure about the trust, its depositor, trustee or custodian, principal underwriters, portfolio, or financial condition.

This form is typically filed after the original Form N-8B-2 when the registrant needs to revise or supplement previously disclosed information. Once Form N-8B-2/A is submitted, it becomes part of the trust’s registration record and helps maintain current and accurate disclosure for the SEC and the public.

Form N-8B-2/A ensures transparency by updating the registration statement for a currently issuing unit investment trust. It supports the broader framework of investment company filings by requiring amended disclosure when material information in the original filing needs to be corrected, updated, or expanded.

Key elements typically found in SEC Form N-8B-2/A include:

  • Name of the unit investment trust
  • Amendments to previously disclosed registration information
  • Updates regarding the depositor, trustee, or custodian
  • Revisions to portfolio, fee, or contract information
  • Amended financial or operational disclosure
  • Identification of the filing as an amendment to Form N-8B-2

SEC Form N-8B-2/A Filing Deadlines

SEC Form N-8B-2/A does not have a single fixed filing deadline in the same way as a periodic report. It is generally filed as needed when a registrant must amend or supplement a previously filed Form N-8B-2 registration statement.

Filing Stage Timeline Details
Need for Amendment Identified As needed The registrant determines that previously filed information should be updated, corrected, or supplemented
Form N-8B-2/A Filing As needed Filed with the SEC as an amendment to the original Form N-8B-2
Amendment Effect Upon filing or as applicable The amended disclosure becomes part of the trust’s registration record
Ongoing Updates Not applicable No fixed recurring deadline applies; amendments depend on changes to disclosed information

Key Things to Know About Form N-8B-2/A Filing Rules

  • Amendment to an Existing Registration Statement: Form N-8B-2/A is not an initial filing. It amends a previously filed Form N-8B-2 registration statement for a unit investment trust.
  • Used for Updates, Corrections, or Supplements: Registrants use this form when information in the original filing needs to be revised, corrected, or expanded to keep disclosures accurate.
  • Applies to Currently Issuing Unit Investment Trusts: The underlying registration statement relates to unit investment trusts that are currently issuing securities under Section 8(b) of the Investment Company Act of 1940.
  • No Fixed Periodic Deadline: Form N-8B-2/A is generally event-driven and filed as needed rather than on a set annual or quarterly schedule.
  • Part of the Trust’s Ongoing Registration Record: Once filed, the amendment becomes part of the trust’s SEC filing history and updates the disclosure record associated with the original Form N-8B-2.

To monitor investment company disclosures, our Edgar Database helps you to track Form N‑8A, Form N‑8B‑2, Form N‑1A, Form N‑2, and Form N‑54A for initial registration, UIT registration, mutual fund/ETF registration, closed‑end/BDC registration, and BDC election filings under the Investment Company Act of 1940.

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