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Form N-8B-2 Registration Statement Of Unit Investment Trusts Which Are Currently Issuing Securities (SEC977) N-8B-2 - Official Federal Forms
| Form N-8B-2 Registration Statement Of Unit Investment Trusts Which Are Currently Issuing Securities (SEC977) Form. This is a national form and can be used in Securities And Exchange Commission . |
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You may not send a completed printout of this form to the SEC to satisfy a filing obligaton. You can only satisfy an SEC filing obligation by submitting the information required by this form to the SEC in electronic format online at https://www.edgarfiling.sec.gov. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N 8B 2 REGISTRATION STATEMENT OF UNIT INVESTMENT TRUSTS WHICH ARE CURRENTLY ISSUING SECURITIES Pursuant to Section 8(b) of the Investment Company Act of 1940 Name of Unit .Investment Trust -- OMB APPROVAL OMB Number: 3235-0186 Expires: ... . November 30,2015 Estimated average burden hours per re~onse..... 19.5 0 0 Items Not the issuer of periodic payment plan certificates. Issuer of periodic payment plan certificates. CONTENTS INSTRUCTIONS I 1-9 ORGANIZATION AND GENERAL INFORMATION II GENERAL DESCRIPTION OF TRUST AND SECURITIES OF THE TRUST I0 11-12 13 14-24 14 15 16 17 18 19 20 21 22 23 24 General Information Concerning the Securities of the Trust and the Rights of Holders Information Concerning the Securities Underlying the Trust's Securities Information Concerning Loads, Fees, Charges and Expenses Information Concerning the Operations of the Trust Issuance of Securities Receipt of Payments Purchase and Sale of Underlying Securities Redemption of Securities Distributions and Reinvestment Records and Accounts Indenture Provisions Regarding Depositor, Trustee or Indenture Changes Loans to Security Holders Limitations on Liability Bonding of Officers and Employees Other Material Provisions Ill ORGANIZATION, PERSONNEL AND AFFILIATED PERSONS OF DEPOSITOR 25-27 28 29 30 31 32 33 34 Organization and Operations of Depositor Officials and Affiliated Persons of Depositor Companies Ow.ning Securities of Depositor Controlling Persons Compensation of Officers of Depositor Compensation of Directors Compensation to Employees Compensation to Other Persons SEC0977 (3-1 0) Persons wlho are to r< espond 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 IV DISTRIBUTION AND REDEMPTION OF SECURITIES 35-38 39-43 44 45 46 47 Distribution of Securities Information Concerning Principal Underwriter Offering Price or Acquisition Valuation of Securities ofthe Trust Suspension ofRedemption Rights Redemption Valuation of Securities of the Trust Purchase and Sale of Interests in Underlying Securities from and to Security Holders v INFORMATION CONCERNING THE TRUSTEE OR CUSTODIAN 48 49 50 Genera! Information Fees Paid Lien on Assets VI 51 Information Concerning Insurance of Holders of Securities VII 52 53 Policy of Registrant Mutual Investment Company VIII FINANCIAL AND STATISTICAL INFORMATION 54 55 56 57 58 59 Asset Value and Dividends Transcript of Hypothetical Periodic Payment Plan Account Experience and Performance Table Termination Experience Table Lapse Experience Table Instructions as to Financial Statements IX EXHIBITS SIGNATURE 2 American LegalNet, Inc. www.FormsWorkFlow.com GENERAL INSTRUCTIONS FOR FORM N-88-:2 READ INSTRUCTIONS CAREFULLY BEFORE PREPARJNG THE REGISTRATION STATEMENT. THE REGISTRATION STATEMENT WILL NOT BE DEEMED ACCEPTABLE UNLESS IT IS PREPARED, EXECUTED AND FILED SUBSTANTIALLY IN ACCORDANCE WITH THESE INSTRUCTIONS: 1. Rule as to Use of Form This form shall be used as the form for registration statements to be filed, pursuant to Section 8(b) of the Investment Company Act of 1940, by unit investment trusts other than separate accounts that are currently issuing securities, including unit investment trusts that are issuers ofperiodic payment plan certificates and unit investment trusts of which a management investment company is the sponsor or depositor. 2. Preparation and Filing of Registration Statement (a) Every item is to be answered as of the date of execution of the registration statement unless the context clearly indicates the contrary. All answers are to be printed, mimeographed or typewritten in black ink, and prepared on good quality white paper, 8W' x 13" in size, leaving a back or stitching margin ofat least l W'. Tables, financial statements and schedules, however, may be on larger paper if folded to such size. Documents submitted as exhibits may differ from such size. All copies of the registration statement shall be unbound except by clips or removable staples. The answer to each item shall contain the full text of such item (but not necessarily any notes or instructions accompanying the item)and the full heading ofeach table. However, the tabular form may be dispensed with, provided all of the information called for by the table is furnished. Every item and subdivision thereof is to be answered fully and accurately and if the answer is in the negative or if the item or subdivision is not applicable, it is to be answered in appropriate negative form, such as "none" or "not applicable." If an item or subdivision which calls for the preparation of information in tabular form is not applicable, it is not necessary to retype the table called for under that particular item. However, the answer must indicate that such item or subdivision thereof is "not applicable. " (b) (c). Provisions ofIndentures or Agreements: Reference to indenture provisions should be succinct and condensed and should not quote such provisions verbatim unless necessary to do so. The answer may be qualified, however, by reference to particular provisions of any indenture set forth as an exhibit. (d) Incorporation by Reference: The answer to any of the Items I to 54 in the registration statement may be incorporated by reference as answer, or partial answer, to any of such items, provided that the item referred to is specifically designated. However, none of the financial statements, nor any of the exhibits, required by the registration statement may be incorporated by reference as alJ or part of the answer to any of such items. Names shall be given in full. Initials will not suffice. Information Unknown or Not Available: Information required need be given only insofar as known or reasonably available to the depositor or the trustee or custodian. If any required information is unknown and not reasonably o available either because the obtaining there- f would involve unreasonable effort or expense, or because it rests peculiarly within the knowledge ofanother person neither controlling, controlled by, nor under common control wi
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