Form 497J certifications of no change
Form 497J: a fund's certification that its definitive prospectus and SAI match the last post-effective amendment on EDGAR.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%22497J%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"497J"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is 497J?
Form 497J is a short certification filed by registered investment companies under paragraph (j) of Securities Act Rule 497. Instead of filing the full text of a definitive prospectus or statement of additional information again, the fund certifies that the version it uses does not differ from the one contained in its most recent post-effective amendment.
Because funds file one after almost every effective post-effective amendment, 497J is one of the highest volume form types on EDGAR. It is a reliable marker that a new prospectus became effective for a trust and its series.
Open-end funds, closed-end funds and other registered investment companies that would otherwise file definitive materials under Rule 497.
Shortly after a post-effective amendment (usually a 485BPOS) becomes effective, in place of refiling the definitive prospectus.
Filings per year
Every 497J filing on EDGAR, counted from the SecFeed index. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Certification | A statement that the prospectus and SAI do not differ from the latest amendment. |
| Registration numbers | The Securities Act and Investment Company Act file numbers it relates to. |
| Series and classes | The series and share classes the certification covers, from the EDGAR header. |
| Signature | Name and title of the fund officer or counsel who signs. |
Get 497J data with SecFeed
Search the filings with formType:"497J", read any document as text or PDF, and use these APIs for structured data:
Search every SEC EDGAR filing since 1993 with Lucene-style queries over ticker, CIK, form type, filing date, company, SIC and 8-K items.
Text Search APISearch every word of every EDGAR filing and exhibit since 2001. Exact phrases, form type, CIK and date filters, results as JSON.
Document Download APIList every file in an SEC filing and download any document, exhibit, XBRL file or image from the EDGAR archive with one authenticated call.
Latest 497J filings
Use cases
- Detect when a fund's new annual prospectus took effect
- Link each 485BPOS to its follow-up certification
- Count prospectus update cycles per fund family
Related forms
485BPOS post-effective amendments under Rule 485(b): annual fund prospectus updates and non-material changes, effective on filing.
497Fund prospectus updateRule 497 definitive prospectuses, SAIs and supplements of mutual funds, ETFs and closed-end funds, the documents actually sent to investors.
497KFund summary prospectusForm 497K summary prospectuses of mutual funds and ETFs since 2009: objective, fee table, strategies, risks, performance and managers.
N-1AOpen-end fund registrationForm N-1A registration statements for open-end mutual funds and ETFs: prospectus, statement of additional information and exhibits.
FAQ
Why does a fund file 497J instead of a 497?
Rule 497(j) lets a fund certify that its definitive materials are unchanged from the last amendment rather than file the same document again.
Does a 497J contain the prospectus text?
No. It is usually a one page letter. The prospectus itself is in the related 485BPOS or 497 filing.
Every 497J filing, one API call away
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