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What Are Registration Forms?

Registration forms are documents notifying the SEC of the issuer's intent to operate as an investment company, in accordance with US regulations.

The first document that must be filed with the SEC is a notification of registration on Form N-8A, followed within three months by a registration statement on the appropriate SEC form for the type of investment or securities company the issuer is registering. Registration forms that the issuer may submit include Form N-1A for mutual funds; Form N-2 for closed-end funds; Form N-3 for separate accounts offering variable annuity contracts with management investment companies; Form N-4 for separate accounts offering variable annuity contracts with unit investment trusts (UITs); and Form N-6 for separate accounts offering variable life insurance policies with UITs.

How Can Merrill Help?

Entrust the creation, filing and delivery of regulatory documents to Merrill. With nearly 50 years of industry experience, our unparalleled subject matter expertise along with best-in-class reporting software will help you navigate the demands of ever-changing disclosure requirements.

Merill DPA

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