Form POS AMI Filings

What Is SEC Form POS AMI?

SEC Form POS AMI is an important filing used for a post-effective amendment made under the Investment Company Act of 1940 only. It is submitted in EDGAR as the POS AMI submission type for amendments to 40 Act-only filings.

This form is typically filed when an investment company needs to amend, update, or supplement a previously filed registration statement under the 1940 Act. Depending on the registrant and filing context, it may be used with filings such as Form N-1A or Form N-2 to revise disclosure, add supplements, or update other registration statement information.

Form POS AMI helps provide transparency by making amended registration statement information publicly available for 1940 Act-only filings. It does not function as a standalone periodic report, but instead serves as an amendment within the broader investment company registration framework.

Key elements typically found in SEC Form POS AMI include:

• Name of the registrant or investment company
• Investment Company Act file number
• Amendment number to the registration statement
• The underlying registration form or statement being amended
• Updated or supplemental disclosure included in the amendment
• Exhibits, incorporations by reference, or other amended registration materials

SEC Form POS AMI Filing Deadlines

Key Things to Know About Form POS AMI Filing Rules

• 1940 Act-Only Amendment: POS AMI is used for post-effective amendments for filings made under the Investment Company Act of 1940 only.
• Event-Driven Filing: This filing is generally submitted when an investment company registrant needs to amend, revise, or supplement an existing registration statement.
• Not a Standalone Periodic Report: Form POS AMI functions as an amendment to an existing registration statement rather than as a separate annual, quarterly, or current report.
• Content depends on the Amendment Purpose: A POS AMI filing may update the prospectus or statement of additional information disclosure, include a supplement, revise exhibits, or incorporate previously filed information by reference.
• No Separate Fixed Periodic Deadline: Unlike periodic SEC reports, POS AMI is generally filed when needed for the amendment itself, so the timing is based on the filing event rather than on a separate fixed reporting calendar.

SEC Form POS AMI is a post-effective amendment used by investment companies to update registration statements filed under the Investment Company Act of 1940. It aligns with offering-related disclosures tracked in Initial Public Offerings, while analysts reviewing such filings may also use our Search SEC filings tools to compare issuers across funds filing insights.