SEC FORM N-1A:

SEC Form N-1A is the required United States Securities and Exchange Commission ("SEC") Registration Form for establishing Open-End Management Companies. The form can be used for registering both Open-End Mutual Funds and Open-End Exchange-Traded Funds (ETFs).

 

An Open-End Management Company is a type of investment company responsible for the management of Open-End Funds. These are pooled investment funds that take in new money and make disbursements on an ongoing basis (as opposed to Closed-End Funds, which only take in new money during an initial period).

SEC Form N-1A must be submitted by Open-End Funds for registration with the SEC. Prior to submitting a registration statement for an Open-End Fund, the managing investment company should file a notification of registration on Form N-8A. A fund must update its Form N-1A registration statement annually.

 

Form N-1A Content:

A Form N-1A requires comprehensive information about the Fund. It is the primary document used to communicate information about the fund to the SEC and the public. Part A of the Form includes information required in the prospectus. Part B of the Form includes information required in a statement of additional information. These two documents are the primary pieces of communication utilized by investors. The prospectus and the statement of additional information encompass the majority of the details submitted with the filing. Additional information requested includes: exhibits, persons controlled by or under common control with the Fund, indemnification, business and other connections of the investment adviser, principal underwriters, location of accounts and records, management services and undertakings.

Prospectus:

Form N-1A requests that the Prospectus include 13 specified items. Items include investment objective, fees, risks, performance, management details, principal investment strategies, organization and distributions. Following the requirements in a Form N-1A creates consistency for investors in the Prospectus documents of Open-End Funds for simplified comparisons. The information must be presented clearly, so that the average investor, who may not have a strong legal or financial background, can understand it.

Statement of Additional Information:

The statement of additional information is also required by the registration statement and provides even broader disclosure on the fund. Information required in the statement of additional information is outlined in 14 line items. It includes more in-depth information on the company’s management and portfolio managers. It also includes the Fund’s Financial Statements.

 

Form N-1 is filed on the SEC EDGAR system in HTML format. The SEC only accepts a simplified version of HTML, requiring the source documents to be converted using specialized SEC EDGAR software (as opposed to simply using the "Save as HTML" option in a word processor). Form N-1 also requires the filing entity to be registered with the SEC EDGAR system and have valid EDGAR filing codes.

To Retain and Engage STEVE MUEHLER - SECURITIES for a N-1 Registration Statement Filing:

STEVE MUEHLER - SECURITIES regularly works with companies and their legal counsel with respect to the creating and filing of SEC Form N-1; we consider it one of our specialties. 

 

After the complete SEC Form N-1 is drafted and approved by your company, STEVE MUEHLER - SECURITIES will convert the approved and finalized N-1 Registration Statement to SEC EDGAR HTML format, and provide you and your team with an online proof. After obtaining your final approval, we file the Form N-1 with the SEC EDGAR system.

The process of filing and having an N-1 approved by the SEC can take anywhere from two months to a year, depending on amount of material and complexity of the filing. The entire STEVE MUEHLER - SECURITIES team is available throughout this entire process to prepare and submit subsequent amendments, redlines, and correspondence letters.

 

Service(s) to be Provided:

  • Registration of the company / Fund with the United States Securities & Exchange Commission.

    • Obtain SEC CIK Number

    • Obtain EDGAR Online Access

  • Drafting & Preparation of a Federal Securities Laws Compliant N-1 Registration Statement.

    • Our Custom N-1 Registration Statement includes (but is not limited to):

      • Structuring and Development of a Presentation Grade N-1 Registration Statement,

      • Includes N-8A Structuring and Development as needed,

      • all SEC Filing(s) as required via the EDGAR,

      • Federal Securities Laws Compliance Review, and

      • Access to our Broker-Dealer Network & International Institutional Investment Banking Network.

      • Does Not include any expenses associated with any required Financial Audits, Legal Opinion Letters, Broker Dealer / Market Maker Fees, Registration Fees paid to the SEC, and/or any Fees associated with a Capital Markets Listing. 

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STEVE MUEHLER - SECURITIES
1055 West 7th Street
Los Angeles, California 90017
Phone: (877) 259-8066
Email: Steve@SteveMuehler.com

STEVE MUEHLER - SECURITIES provides no depository services and is not insured by the FDIC. STEVE MUEHLER - SECURITIES is an Investment Banking Industry Document Preparation Company and Capital Markets Advisor. STEVE MUEHLER - SECURITIES does not offer, and does not offer to provide any broker dealer or market maker services. STEVE MUEHLER - SECURITIES operates this website (referred to as the “Website”). By accessing this Website and any pages thereof, you agree to be bound by its Terms of Use and Privacy Policy. Past performance is no guarantee of future results. Any historical returns, expected returns, or probability projections may not reflect actual future performance. STEVE MUEHLER - SECURITIES does not provide financial planning services. STEVE MUEHLER - SECURITIES does not provide tax advice and does not represent in any manner that the outcomes described herein will result in any particular tax consequence.

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