Return to Forms List

Form N-8B-3/A Filings

SEC Form N-8B-3/A is an amendment filing used by unincorporated management investment companies that issue periodic payment plan certificates to update a previously filed Form N-8B-3 registration statement under Section 8(b) of the Investment Company Act of 1940.

+ Create Alert
Rows per page
ID Form Filer Name Filing Agent Date Actions
No Data Found

What Is SEC Form N-8B-3/A?

SEC Form N-8B-3/A is the amended version of Form N-8B-3. It is used when an unincorporated management investment company currently issuing periodic payment plan certificates needs to revise or update its Section 8(b) registration statement already on file with the SEC.

Key elements typically found in SEC Form N-8B-3/A include:

  • Name of the registrant and identifying information.
  • Reference to the original Form N-8B-3 registration statement being amended.
  • Updated information regarding the registrant’s organization or operations.
  • Revisions to disclosures previously filed under Section 8(b) of the Investment Company Act of 1940.
  • Information concerning periodic payment plan certificates, where applicable.
  • Any other material corrections or updates are required to keep the registration statement current.

SEC Form N-8B-3/A Filing Deadlines

SEC Form N-8B-3/A does not have a fixed recurring deadline. It is generally filed when updates, corrections, or amendments are needed to a previously filed Form N-8B-3 registration statement.

Filing Stage Timeline Details
Amendment Trigger As needed Filed when previously submitted Form N-8B-3 information must be revised or updated
Form N-8B-3/A Filing Not applicable Filed electronically with the SEC as an amendment submission
Effective Use As needed Used to maintain the current and accurate registration statement disclosure
Separate Waiting Period Not applicable No specific standalone waiting period is identified in the submission type description

Key Things to Know About Form N-8B-3/A Filing Rules

  • Amendment to Existing Registration Statement: Form N-8B-3/A is used only to amend a previously filed Form N-8B-3 registration statement.
  • Section 8(b) Registration Context: The filing relates to registration under Section 8(b) of the Investment Company Act of 1940 for unincorporated management investment companies issuing periodic payment plan certificates.
  • Event-Driven Filing: Form N-8B-3/A is filed as needed when existing registration statement information must be corrected, supplemented, or updated.
  • Electronic Submission Type Supported: EDGAR recognizes N-8B-3/A as the amendment submission type associated with Form N-8B-3.
  • Used for Current Disclosure Maintenance: The amendment helps keep the registrant’s Section 8(b) registration statement accurate and current on the SEC record.

To follow amendment activity and related registration updates, our platform helps you monitor recent SEC filings submissions and broader SEC company filings activity relevant to investment company registration statements.

From the Blog

View All