Form 40-6B: applications by employees' securities companies
Applications under Section 6(b) of the Investment Company Act by employees' securities companies, such as employee investment funds.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%2240-6B%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"40-6B"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is 40-6B?
An employees' securities company is an investment vehicle formed for the employees of a firm, often to let them co-invest alongside the firm's own private investments. Section 6(b) of the Investment Company Act lets the SEC exempt these vehicles from parts of the Act, and the application is filed as 40-6B.
Banks, private equity firms, law and consulting firms use these structures, so the filings show which firms run employee co-investment programs.
Employees' securities companies and their sponsoring firms.
When the vehicle seeks an exemptive order.
Filings per year
Every 40-6B filing on EDGAR, counted from the SecFeed index, amendments included. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Applicants | The employee fund and its sponsor. |
| Eligible employees | Who may invest. |
| Investment program | What the vehicle invests in. |
| Conditions | Undertakings to protect participants. |
Get 40-6B data with SecFeed
Search the filings with formType:"40-6B", read any document as text or PDF, and use these APIs for structured data:
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Latest 40-6B filings
| Company | Form | Filed | |
|---|---|---|---|
| MARSHALL WACE, LLP | 40-6B/A | 2026-10-01 | EDGAR ↗ |
| DPP Investors 2025, LP | 40-6B/A | 2026-09-30 | EDGAR ↗ |
| Jefferies Financial Group Inc. | 40-6B | 2026-07-30 | EDGAR ↗ |
| Robinhood Employee Fund, LP | 40-6B | 2026-07-16 | EDGAR ↗ |
| Neuberger Berman Europe Ltd | 40-6B/A | 2026-06-18 | EDGAR ↗ |
| Churchill Asset Management LLC | 40-6B/A | 2026-06-16 | EDGAR ↗ |
| FRANKLIN RESOURCES INC | 40-6B/A | 2026-06-03 | EDGAR ↗ |
| Manulife Employee Securities Co 2025, L.P. | 40-6B/A | 2026-05-22 | EDGAR ↗ |
Use cases
- Identify firms with employee co-investment programs
- Research how employee funds are structured
Related forms
40-APP applications for SEC exemptive relief under the Investment Company Act and Advisers Act: ETF, co-investment, multi-class and fund of funds reli
APP ORDRExemptive relief ordersSEC orders granting applications for exemptive or other relief from the federal securities laws, mostly under the Investment Company Act.
FAQ
What is an employees' securities company?
An investment company formed for a firm's employees, which can be exempted from parts of the Investment Company Act under Section 6(b).
What form is used to apply?
The application is filed on EDGAR as 40-6B.
Every 40-6B filing, one API call away
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