Syndicate Legal Advisory Services provides nationwide legal document preparation services for small business investment companies preparing Form N-5 registration statements. We prepare Form N-5 and related supporting materials based on the company information, disclosure content, and specific instructions you provide.
Documents Commonly Prepared
We prepare documents associated with a Form N-5 filing, including:
Form N-5 Registration Statement: Completion of the integrated registration statement covering organization and business, investment policies, capital structure, financial statements, prospectus information, and other required items under both the Securities Act of 1933 and the Investment Company Act of 1940, based on the information and content you supply.
Financial Statement Materials: Organization and formatting of required financial statements, based on the financial data you supply.
Exhibits: Organization and formatting of required exhibits, based on the documents and information you provide.
Amendments (Form N-5/A): Preparation of amended registration statements incorporating updates or corrections, based on the corrected or updated details you provide.
Related Supporting Materials: Organization of attachments, signature pages, or other materials referenced in the form, based on the information you supply.
Documents are prepared for electronic filing through the SEC’s EDGAR system. Form N-5 is the integrated registration statement used by small business investment companies that are licensed under the Small Business Investment Act of 1958 (or that have received preliminary approval from the Small Business Administration and have been notified that they may submit a license application) to register under both the Securities Act of 1933 and Section 8(b) of the Investment Company Act of 1940; clients remain fully responsible for determining eligibility and the filing obligation, the accuracy and completeness of all disclosures, timely EDGAR filing, payment of any applicable fees, and compliance with the Securities Act, Investment Company Act, Small Business Investment Act, and SEC requirements.
