Form 40-OIP Investment Company Act applications (insurance products)
Form 40-OIP: Investment Company Act applications reviewed by the SEC's Office of Insurance Products, such as fund substitution requests.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%2240-OIP%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"40-OIP"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is 40-OIP?
The EDGAR Filer Manual describes 40-OIP as applications under the Investment Company Act reviewed by the Office of Insurance Products. In practice the filers are insurance companies and their separate accounts asking for orders, most commonly to substitute one underlying fund for another inside variable annuity and variable life contracts.
A single application often covers many separate accounts at once, which is why one filing can appear under dozens of CIKs.
Insurance companies and their separate accounts, together with affiliated funds and advisers.
When an insurer seeks an order, for example before replacing an underlying fund in its variable contracts.
Filings per year
Every 40-OIP filing on EDGAR, counted from the SecFeed index, amendments included. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Applicants | Insurance companies, separate accounts and affiliated parties. |
| Relief requested | Typically approval of a substitution or a related exemption. |
| Existing and replacement funds | Fees, performance and objectives compared. |
| Conditions | Undertakings to protect contract owners, such as fee caps. |
Get 40-OIP data with SecFeed
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Latest 40-OIP filings
| Company | Form | Filed | |
|---|---|---|---|
| Brighthouse Variable Annuity Account B | 40-OIP/A | 2021-03-03 | EDGAR ↗ |
| SEPARATE ACCOUNT U OF VENERABLE INSURANCE & ANNUITY Co | 40-OIP | 2021-03-01 | EDGAR ↗ |
| Brighthouse Variable Annuity Account B | 40-OIP/A | 2021-02-10 | EDGAR ↗ |
| Brighthouse Variable Annuity Account B | 40-OIP/A | 2020-11-19 | EDGAR ↗ |
| NYLIAC VARIABLE ANNUITY SEPARATE ACCOUNT III | 40-OIP/A | 2020-10-27 | EDGAR ↗ |
| Brighthouse Variable Annuity Account B | 40-OIP | 2020-07-06 | EDGAR ↗ |
| NYLIAC VARIABLE ANNUITY SEPARATE ACCOUNT III | 40-OIP | 2020-04-08 | EDGAR ↗ |
| MUTUAL OF AMERICA CAPITAL MANAGEMENT LLC | 40-OIP | 2019-05-15 | EDGAR ↗ |
Use cases
- Research fund substitutions inside variable annuities
- Find which insurers changed their investment menus
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
N-4Variable annuity registrationForm N-4 registration statements for insurance company separate accounts that offer variable annuity contracts.
N-6Variable life registrationForm N-6 registration statements for insurance company separate accounts that offer variable life insurance policies.
FAQ
Why do insurers need an order to substitute funds?
Section 26(c) of the Investment Company Act requires SEC approval before a separate account substitutes securities.
Is 40-OIP still used?
The live chart shows its recent activity. Many insurance product applications now appear as 40-APP filings.
Every 40-OIP filing, one API call away
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