Syndicate Legal Advisory Services provides nationwide legal document preparation services for unit investment trusts preparing Form N-8B-2 registration statements under the Investment Company Act of 1940. We prepare Form N-8B-2 and related supporting materials based on the trust information and specific instructions you provide.
Documents Commonly Prepared
We prepare documents associated with a Form N-8B-2 filing, including:
Form N-8B-2 Registration Statement: Completion of the registration statement covering the organization and general information of the trust, description of the securities, rights of holders, personnel and affiliated persons of the depositor, distribution and redemption of securities, the trustee or custodian, policy of the registrant, and other required items, 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: Preparation of amendments 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-8B-2 is the registration statement used by unit investment trusts other than separate accounts that are currently issuing securities (including those issuing periodic payment plan certificates and certain UIT ETFs) to register under Section 8(b) of the Investment Company Act of 1940; securities offerings under the Securities Act are typically registered separately on Form S-6; clients remain fully responsible for determining the filing obligation, the accuracy and completeness of all disclosures, timely EDGAR filing, and compliance with the Investment Company Act and SEC requirements.
