Notices of applications under Section 6(b)
SEC notices of applications under Section 6(b) of the Investment Company Act, used by employees' securities companies.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%226B%20NTC%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"6B NTC"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is 6B NTC?
Section 6(b) of the Investment Company Act lets the SEC exempt employees' securities companies, which are funds formed for the employees of a firm, from parts of the Act. The SEC publishes notice of each application, posted on EDGAR as 6B NTC, followed by an order (6B ORDR).
Applicants are usually asset managers and financial firms setting up co-investment vehicles for employees.
Issued by the SEC on the applicant's record.
After an application is filed, before the order.
Filings per year
Every 6B NTC filing on EDGAR, counted from the SecFeed index. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Applicant | The employees' securities company and sponsor. |
| Relief | Exemptions requested. |
| Hearing | Opportunity to request a hearing. |
Get 6B NTC data with SecFeed
Search the filings with formType:"6B NTC", read any document as text or PDF, and use these APIs for structured data:
Latest 6B NTC filings
| Company | Form | Filed | |
|---|---|---|---|
| Churchill Asset Management LLC | 6B NTC | 2026-07-13 | EDGAR ↗ |
| Manulife Employee Securities Co 2025, L.P. | 6B NTC | 2026-07-08 | EDGAR ↗ |
| FRANKLIN RESOURCES INC | 6B NTC | 2026-06-09 | EDGAR ↗ |
| GOLDMAN SACHS GROUP INC | 6B NTC | 2026-05-19 | EDGAR ↗ |
| PGIM, Inc. | 6B NTC | 2025-05-15 | EDGAR ↗ |
| Edgar Street Capital, LLC | 6B NTC | 2024-12-18 | EDGAR ↗ |
| Greystone Employee Investments LP | 6B NTC | 2024-11-27 | EDGAR ↗ |
| F&W Investments LP | 6B NTC | 2024-05-02 | EDGAR ↗ |
Use cases
- Track employee co-investment vehicles at asset managers
Related forms
FAQ
What is an employees' securities company?
A fund owned by employees of a company and its affiliates, as defined in Section 2(a)(13).
What follows the notice?
An order, posted as 6B ORDR.
Every 6B NTC filing, one API call away
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