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Form S-6 (Facing Sheet) For Registration Under The Securities Act Of 1933 (SEC649) S-6 - Official Federal Forms
| Form S-6 (Facing Sheet) For Registration Under The Securities Act Of 1933 (SEC649) Form. This is a national form and can be used in Securities And Exchange Commission . |
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UNITED STATES OMB Number: 3235-0184 SECURITIES AND EXCHANGE COMMISSION Expires: October 31, 2013 Estimated average burden Washington, D.C. 20549 hours per response. . . . 35.00 OMB APPROVAL FORM S-6 [FACING SHEET] FOR REGISTRATION UNDER THE SECURITIES ACT OF 1933 OF SECURITIES OF UNIT INVESTMENT TRUSTS REGISTERED ON FORM N-8B-2 A. Exact name of trust: B. Name of depositor: C. Complete address of depositor's principal executive offices: D. Name and complete address of agent for service: It is proposed that this filing will become effective (check appropriate box) immediately upon filing pursuant to paragraph (b) on (date) pursuant to paragaph (b) 60 days after filing pursuant to paragraph (a)(1) on (date) pursuant to paragraph (a)(1) of rule 485. If appropriate, check the following box: this post-effective amendment designates a new effective date for a previously filed post-effective amendment. E. Title of securities being registered: F. Approximate date of proposed public offering: Check box if it is proposed that this filing will become effective on (date) at (time) pursuant to Rule 487. GENERAL INSTRUCTIONS Instruction 1. Rule as to Use of Form S-6. This form may be used for registration under the Securities Act of 1933 of securities of any unit investment trust registered under the Investment Company Act of 1940 on form N-8B-2. Instruction 2. Compliance with Requirements. The registrant should read carefully every provision of this form and should consider the applicability of the General Rules and Regulations under the Act, particularly regulation C thereof. The registration statement will not be accepted for filing unless it is prepared, executed and filed substantially in accordance with the requirements contained in this form and in the General Rules and Regulations. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. American LegalNet, Inc. www.FormsWorkFlow.com SEC 649 (1-08) Instruction 3. Contents of Registration Statement. (a) The registration statement shall consist of the following: (1) The facing sheet. (2) A prospectus containing the information specified in the instructions hereinafter set forth. (3) The undertaking required by Section 15(d) of the Securities Exchange Act of 1934, the form of which is hereinafter set forth. (4) A list of the papers and documents comprising the registration statement. (5) The signatures to the registration statement. (6) The written consents referred to in instruction 4, below. (7) The exhibits specified in the instructions as to exhibits set forth at the end of the form. (b) The papers and documents comprising the registration statement shall be assembled and filed in the order indicated above. Two extra copies of the prospectus shall be filed to make up the five copies required by rule 800(a). (c) These general instructions and the instructions as to the prospectus and as to exhibits are to be entirely omitted from the registration statement as filed with the Commission. Instruction 4. Written Consents. (a) Section 7 of the Securities Act of 1933 requires the filing of written consents of certain experts. Rule 670 and 671 govern respectively the filing of such written consents and application to dispense with the filing thereof. Any such expert who is referred to or quoted in the prospectus shall specifically consent to such reference or quotation. (b) Rule 672 requires the filing of written consents of persons who have not signed the registration statement but who are named therein as about to become directors of the registrant. INSTRUCTIONS AS TO THE PROSPECTUS Instruction 1. Information to be Contained in Prospectus. A prospectus for securities registered on this form shall contain the following information: (a) The information which would be required by the items of form N-8B-2 if a registration statement on that form were currently being filed, except items 7, 8, 36, 41 (b) and (c), 56, 57, 58 and 59. (b) The following financial statements for the trust, prepared in accordance with the applicable provisions of regulation S X: (1) A statement of condition as of a date within 90 days prior to the date of filing. If this statement is not certified, there shall also be included a certified statement of condition as of a date within one year prior to the date of filing. (2) Statements of income and other distributable funds for the last three fiscal years and any subsequent period up to the date of the latest statement of condition, certified to the date of the latest certified statement of condition. Notwithstanding paragraphs (1) and (2), all schedules may be omitted from the prospectus, except the information required by columns A, F, G and H of Schedule I, and Schedules II, IV and V in support of the most recent financial statements filed for the trust. (c) The following financial statements for each depositor prepared in accordance with the provisions of item 59 (d) of form N-8B-2 and the applicable provisions of regulation S-X. (1) A balance sheet as of a date within 90 days prior to the date of filing. If this balance sheet is not certified there shall also be included a certified balance sheet as of a date within one year prior to the date of filing. 2 American LegalNet, Inc. www.FormsWorkFlow.com (2) A profit and loss statement for the last fiscal year and for any subsequent period up to the date of the latest balance sheet, certified to the date of the latest certified balance sheet. Notwithstanding paragraphs (1) and (2), all schedules may be omitted from the prospectus. (d) If any expert named in the registration statement as having prepared or certified any part thereof was employed for such purpose on a contingent basis or, at the time of such preparation or certification or at any time thereafter, had a substantial interest in the Company or any affiliated person or was connected with the Company or any affiliated person as a promoter, underwriter, voting trustee, director, officer, employee or affiliated person, furnish a brief statement of the nature of such contingent basis, interest, or connection. (e) The information, including financial statements, furnished pursuant to instruction 5 of the instructions as to exhibits, which would be required to be included in a prospectus for securities registered on the form on which the information is furnished. Instruction 2. Presentati
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