Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2 (PDF)

The U.S. Securities and Exchange Commission (SEC) has published new Form S-6 – the „facing sheet“ which will be valid through June 30, 2026 unless otherwise modified before. The form – in general – must be filed by unit investment trusts (UITs) or their underwriters, if they intend to offer and sell securities to the public and seeks information on a trust’s portfolio management and investment advisory arrangements, its investment strategy, risks associated with investment in the trust, and so forth. The „facing sheet“ as referenced above includes general information of a trust’s name, its original depositor(s), related securities to be issued, and the approximate offering date. The sheet is part of an entire series of documents to be submitted to the SEC in relation to the registration of UIT securities.
It shall be noted in this context that the sheet also contains instructions on all the documents to be included in the registration and a confirmation statement to verify that all rules and regulations in relation to the registration of a UIT have been complied with.
This latest revised version, which is applicable from December 11, 2023, was issued following the implementation of a recently issued rule of the SEC (EventID 23087) as regards the naming of ESG investment funds.