SEC FORM N-14:

SEC Form N-14 is a filing with the United States Securities and Exchange Commission ("SEC") that may be used by all management investment companies and business development companies, as defined under Section 2(a)(48) of the Investment Company Act of 1940, to register certain types of transactions under the Securities Act of 1933. These transactions include those specified in the Securities Act; a merger in which a vote or consent of the security holders of the company being acquired is not required; an exchange offer for securities of the issuer or another person; a public reoffering or resale of any securities acquired in an offering registered on Form N-14; or any combination of such transactions.

Form N-14 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-14 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-14 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-14; we consider it one of our specialties. 

 

After the complete SEC Form N-14 is drafted and approved by your company, STEVE MUEHLER - SECURITIES will convert the approved and finalized N-14 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-14 with the SEC EDGAR system.

The process of filing and having an N-14 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-14 Registration Statement.

    • Our Custom N-14 Registration Statement includes (but is not limited to):

      • Structuring and Development of a Presentation Grade N-14 Registration Statement,

      • 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. 

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