Looking for a Washington State Legal Forms And Templates? Download it for free!

Omission of Certain Information. No information need be furnished hereunder as to any subsidiary for the period prior to the date on

which the subsidiary became a majority-owned subsidiary of (1) the registrant, (2) a predecessor for which statements are filed, or (3) a

predecessor for which information is required above.

INSTRUCTIONS AS TO EXHIBITS

Subject to Rule N-4 regarding incorporation by reference, the following exhibits shall be filed as a part of the registration statement.

Exhibits shall be appropriately lettered or numbered for convenient reference. Exhibits incorporated by reference may bear the designation

given in the previous filing. Where exhibits are incorporated by reference, the reference shall be made in the list of exhibits required by Item

43. If any contract is not in writing, describe the terms of the agreement.

1. A copy of the charter or other instrument of organization as now in effect.

2. A copy of the existing bylaws or instruments corresponding thereto.

3. A copy of any voting trust agreement referred to in answer to Item 4.

4. A specimen or, if a specimen is not available, a copy of each face-amount certificate referred to in Item 15 and a copy of any other

constituent instrument evidencing the rights of certificate holders.

5. (a) A specimen or, if a specimen is not available, a copy of each security referred to in Item 16.

(b) A copy of each indenture, or other constituent instrument, and amendments and supplements thereto defining the rights of holders

of each security, a specimen or copy of which is required to be filed under paragraph (a).

6. Copies of all options, warrants and rights referred to in answer to Item 40.

7. A copy of any contract of guaranty of the registrant’s securities and any contract of guaranty entered into by the registrant with

respect to the securities of another person.

8. A copy of each denial, revocation, suspension or other restriction described in answer to Item 25.

9. (a) A copy of each contract with a principal underwriter described in answer to Item 26.

(b) A copy of a typical application form used in connection with the sale of the registrant’s securities.

(c) A specimen of typical agreements between principal underwriters and dealers, managers, sales supervisors and salesmen.

(d) Schedules of sales commissions referred to in Item 26(d).

10. Copies of all deposit agreements referred to in answer to Item 24 or 32.

11. A copy of each investment advisory agreement described in answer to Item 29.

12. A copy of any agreement or typical insurance policy referred to in answer to Item 33.

13. Copies of all contracts, agreements or arrangements referred to in answer to Items 30 and 35.

14. A copy of each annual report sent to security holders covering each fiscal year ending after January 1, 1937, exclusive of reports,

copies of which have heretofore been filed with the Commission pursuant to the Act.

15. A copy of each notice sent to security holders pursuant to Section 19 of the Act prior to the date of the filing of this form.

16. A schedule showing (i) the amounts periodically credited to each class of security holders’ accounts from installment payments, and

(ii) such other amounts periodically credited to accumulate the maturity amount of the certificate. Such information shall be stated

on a $1,000 face-amount certificate basis for the term of the certificate.

17. A copy of every material contract not made in the ordinary course of business which is to be performed in whole or in part at or after

the filing of the registration statement or which was made not more than 2 years before such filing, except contracts called for by

the foregoing instructions. Only contracts need be filed as to which the registrant or a subsidiary of the registrant is a party or has

succeeded to a party by assumption or assignment, or in which the registrant or such subsidiary has a beneficial interest.

SEC’s Collection of Information

An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently

valid control number. Filing of this Form is mandatory. Section 8(b) of the Investment Company Act of 1940 (“1940 Act”) and the rules

thereunder require investment companies to file a registration statement under the 1940 Act. The Commission staff uses the information to

provide the Commission, investors, and the public with certain basic information about investment companies. The information collected on

Form N-8b-4 is publicly available. Any member of the public may direct to the Commission any comments concerning the accuracy of the

burden estimate of this Form and any suggestions for reducing the burden of the Form. This collection of information has been reviewed by

the Office of Management and Budget in accordance with the clearance requirements of 44 U.S.C. § 3507.

Form N-8b-4 - Registration Statement Of Face-Amount Certificate Companies - Securities And Exchange Commission Page 22

Related Articles

Related forms

Related Categories