The Form 8F-2 NTC Files Dataset is a curated EDGAR collection of Commission-issued notices announcing that a registered investment company has applied for an order under Section 8(f) of the Investment Company Act of 1940 declaring that it has ceased to be an investment company. Each record is one EDGAR submission of a single 8F-2 NTC notice — drafted by staff in the Division of Investment Management's Chief Counsel's Office and disseminated under the SEC's procedural authority pursuant to Rule 0-2 — bundled with a parsed metadata.json sidecar and the original Commission notice as a PDF. The applicant inside each notice is the fund being deregistered, typically following complete liquidation, merger into another registered fund, or transfer of all assets to a non-investment-company successor. The dataset starts in March 2010 and is delivered as monthly ZIP containers holding PDF and JSON files.
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This dataset captures the procedural notice step in the Section 8(f) deregistration sequence under the Investment Company Act of 1940. The underlying document, Form 8F-2 NTC, is not a registrant disclosure: it is a notice issued by the Securities and Exchange Commission announcing that an investment company (the "applicant") has filed an application under Section 8(f) for an order declaring that it has ceased to be an investment company. The application is filed and the notice is published procedurally pursuant to Rule 0-2 under the Act, which governs the form, content, and service of applications and supporting papers. The notice puts interested persons on notice that the application is pending and gives them a defined window in which to request a hearing; absent a timely hearing request or sua sponte Commission action, the deregistration order issues on the terms stated in the application.
Coverage runs from March 2010 to the present. The dataset includes all Form 8F-2 NTC submissions surfaced under that EDGAR form code; the small population reflects how Section 8(f) notices are tagged in EDGAR rather than under-coverage of deregistration activity, since most notices of application under the 1940 Act appear under broader notice form codes and the "8F-2 NTC" tag has been applied inconsistently over time. For each accession number, the dataset provides a metadata.json file plus all documents in the original EDGAR submission except image files; image files are excluded by dataset policy and the EDGAR .txt "complete submission" wrapper is referenced by URL rather than stored locally. The container format is ZIP and the per-record file types are PDF (notice body) and JSON (metadata sidecar).
A single record is one EDGAR submission of a Form 8F-2 NTC notice, identified by a single accession number. On disk, the record is an accession-number folder containing exactly one metadata.json (the parsed EDGAR header and document index) plus the original primary document(s) listed in that index, materialized as PDF files. Image files are excluded by dataset policy, and the EDGAR .txt "complete submission" wrapper is referenced by URL inside metadata.json rather than stored locally.
The folder name is the EDGAR accession number with dashes removed (an 18-digit string), placed under a YYYY-MM/ directory inside a monthly YYYY/YYYY-MM.zip container. The record is best understood as a self-contained bundle of one short Commission notice plus its parsed header; everything else (the SGML-wrapped complete submission, the EDGAR filing-index page) is link-only.
The substance of the notice is administrative-procedural rather than financial. A typical 8F-2 NTC PDF contains:
811- series file number that uniquely identifies a registered investment company);The notice is short — usually one to three pages of formal Commission release language — and is signed by an Assistant Secretary or other authorized officer of the Commission, not by the applicant.
A record has two concentric layers:
metadata.json plus one or more PDF documents whose filenames mirror the leaf segment of the documentUrl in metadata.json.documentFormatFiles.%PDF-1.4 binary).There is no SGML <DOCUMENT> wrapper, no HTML rendering, and no XBRL instance inside the folder. The EDGAR-provided complete-submission .txt and the EDGAR filing-index HTML page are referenced in metadata.json (linkToTxt, linkToHtml) but are not bundled.
metadata.jsonmetadata.json is the canonical structured representation of the EDGAR header and document index for the submission. Its fields fall into three groups.
Top-level scalars and links
formType — EDGAR form code, always "8F-2 NTC" for this dataset.accessionNo — dashed EDGAR accession number (e.g., 9999999997-10-007652). The folder name is the same value with dashes removed.filedAt — ISO 8601 timestamp with timezone offset, recording when the notice was disseminated through EDGAR.description — EDGAR's free-text submission description, typically "Form 8F-2 NTC - 40-8F-2 Notice".linkToFilingDetails — absolute URL to the primary PDF on sec.gov/Archives/edgar/data/....linkToTxt — absolute URL to the EDGAR .txt complete-submission file (referenced, not stored).linkToHtml — absolute URL to the EDGAR filing-index HTML page (referenced, not stored).linkToXbrl — empty string; 8F-2 NTC notices carry no XBRL instance.id — stable opaque hex identifier (MD5-shaped, e.g. 6b0df8979d428191f5f43947652b05c6) that is unique per filing and serves as a convenient primary key.documentFormatFiles — array describing every document EDGAR lists for the submission. Each element carries:
sequence — EDGAR document sequence number as a string. For the auto-generated complete-submission text-file row this field is a single space " " rather than empty or omitted.size — file size in bytes, as a string.documentUrl — absolute URL to the document on sec.gov.type — EDGAR document type code; for the primary notice this is "8F-2 NTC". The complete-submission row carries a single-space type.description — usually populated only on the complete-submission row as "Complete submission text file".For an 8F-2 NTC submission the array typically holds two rows: the notice PDF (materialized on disk) and the complete-submission .txt (link-only). Only documents that are not the auto-generated complete submission and not images are written into the accession folder.
entities — array of parties associated with the filing, with role suffixes embedded in companyName. For 8F-2 NTC the array is typically a single entry — the applicant investment company tagged (Filer). Each entity carries:
companyName — legal name with role suffix in parentheses (e.g., "AMERICAN VANTAGE COMPANIES (Filer)").cik — zero-padded 10-digit Central Index Key of the applicant.fileNo — Investment Company Act 811- series file number that uniquely identifies the registered investment company on the SEC's books.irsNo — IRS Employer Identification Number.stateOfIncorporation — two-letter state code.fiscalYearEnd — MMDD string.act — Act of registration; "40" denotes the Investment Company Act of 1940.type — entity-level form type, mirroring the top-level formType.filmNo — EDGAR film number assigned to the filing.tickers — array of ticker symbols associated with the entity; may be empty.dataFiles — array reserved for structured-data exhibits; empty for this form type.
The PDF carries the entire substantive content of the record. It is a fixed-layout %PDF-1.4 binary served directly by EDGAR and contains the applicant identification, file number, registration history, asset-disposition narrative, hearing-request instructions, and Commission signature described above. The on-disk leaf filename matches the basename used in EDGAR's documentUrl for the primary document; that basename varies across filings (it can be a generic placeholder such as filename1.pdf, an applicant-name stem, or an exhibit-coded stem) but is always derivable from documentFormatFiles[i].documentUrl.
metadata.json — the parsed EDGAR header and document index.documentFormatFiles whose role is not the auto-generated complete submission and which are not image files. In practice, for 8F-2 NTC, this is the single Commission notice as a PDF..txt complete-submission wrapper — referenced via linkToTxt, not bundled.linkToHtml, not bundled.Section 8(f) and Rule 0-2 are long-standing provisions, and the required content of an 8F-2 NTC notice — applicant identification, statutory and procedural basis, recital of the deregistration event, representations about asset disposition and outstanding liabilities, hearing-request mechanics — has been substantively stable across the period covered by the dataset. The metadata.json schema is likewise uniform: the same top-level scalars are populated, the same 811- file-number series appears in entities[].fileNo, and documentFormatFiles consistently lists the notice PDF plus the complete-submission text-file row. The dataset therefore exhibits no meaningful evolution of disclosure structure across time.
The dataset is uniform in format throughout its history: each accession folder contains one metadata.json plus the EDGAR primary document(s) as PDF. The file types found in the dataset are PDF (notice body) and JSON (metadata sidecar). There is no ASCII plain-text variant of the notice, no HTML rendering, and no XBRL/iXBRL layer for this form type — Commission-issued 8F-2 NTC notices have always been disseminated through EDGAR as PDFs.
9999999997, the SEC's internal "filer" CIK used when Commission staff (rather than the registrant) submits a document into EDGAR. This is consistent with 8F-2 NTC being a Commission-issued notice. The substantive applicant — the investment company being deregistered — is identified inside metadata.json.entities and inside the body of the PDF, not by the EDGAR filer CIK on the accession.entities[].fileNo (the 811- series Investment Company Act file number), supplemented by entities[].cik.documentFormatFiles. The complete-submission text-file row uses a single space " " for both sequence and type. Consumers should trim whitespace before treating these values as missing or applying type-based filters; a naive equality check against "" will not match.linkToTxt and linkToHtml resolve to live EDGAR resources rather than to local files. Consumers needing the SGML-wrapped complete submission, raw EDGAR header, or filing-index page must fetch them directly.id hex string in metadata.json is unique per accession and is suitable as a stable join key against external indexes built by accession number.811- file number across the broader EDGAR corpus; the notice itself does not embed the accession numbers of those related filings.Form 8F-2 NTC is a notice of application authored by the SEC itself — drafted by staff in the Division of Investment Management's Chief Counsel's Office and issued by the Commission under its administrative authority. It is disseminated on EDGAR under a Commission-controlled identity, not under the CIK of the underlying fund. The applicant named inside the notice — the entity actually exiting 1940 Act registration — is the registered investment company that previously submitted the deregistration application (typically on Form N-8F under Rule 0-2). Publisher and subject are distinct: every record describes an applicant, but the document is authored by the agency.
The applicants described inside these notices are entities currently registered as investment companies under the 1940 Act:
Each applicant carries a live 1940 Act file number — typically 811- for management companies and UITs, 814- for BDCs — which the notice reproduces along with the applicant's name, the basis for the request, and a brief recitation of corporate history and asset disposition. Operating companies, broker-dealers, foreign private issuers, and Exchange Act-only registrants are outside this population.
The 8F-2 NTC is the procedural notice step in this administrative sequence — not a registrant disclosure to investors.
Deregistration is event-driven, not periodic. The events that lead to a Section 8(f) application — and therefore to an 8F-2 NTC notice — are:
In each case the operative trigger is the applicant's determination that it has ceased to be an investment company within the meaning of the Act.
The 8F-2 NTC's EDGAR date marks the start of the public objection period — not the date of the underlying corporate event, and not the date registration is finally cancelled.
Each record is a Commission-authored notice attached to a specific Section 8(f) deregistration matter, published on EDGAR after the applicant files Form N-8F (or a Rule 0-2 application) and before the Commission issues the final order.
Form 8F-2 NTC occupies a narrow procedural slot: it is the Commission-issued notice that an investment company has applied under Section 8(f) of the Investment Company Act of 1940 (pursuant to Rule 0-2) for an order declaring it has ceased to be an investment company, and that the order will issue unless a hearing is requested. The most useful comparisons isolate (a) the underlying application, (b) the resulting order, (c) Exchange Act deregistration, (d) BDC de-election, (e) wind-down periodic reports, and (f) the broader ICA notice-and-order family.
N-8F is the applicant-authored substantive document: organizational history, the triggering event (liquidation, merger into another registered fund, or conversion to a private vehicle), disposition of remaining assets, and the representations supporting the requested Section 8(f) order. 8F-2 NTC is the Commission-authored procedural counterpart that summarizes the N-8F application for the public and starts the hearing-request clock. Same proceeding, opposite authors, different stages. A complete record requires both.
If the hearing window closes without a request, the Commission issues the order itself — a separate release in the Investment Company Act release series declaring the entity has ceased to be an investment company. The notice announces the proposed action; the order effects it. The 8F-2 NTC dataset captures only the notice stage, so confirmation of actual deregistration must come from the corresponding order release.
Form 15 terminates registration of a class of securities under Section 12(g) of the Exchange Act; Form 15-15D suspends Section 15(d) reporting. Both are issuer-filed self-executing terminations under the Exchange Act, with no Commission notice or order. 8F-2 NTC concerns Section 8(f) ICA termination of investment company status — a wholly distinct statutory regime requiring Commission action. A registered fund with publicly held shares typically must address both regimes through these separate procedures; the filings are not interchangeable, and Section 12(h) exemptive relief is also a distinct track.
N-54C is a self-executing notice filed by a business development company to withdraw its prior Section 54(a) election, terminating coverage by Sections 55–65 of the 1940 Act. Statutory hook: Section 54(c) of the 1940 Act. Filer population: BDCs only. There is no SEC notice-of-application analog, because no order is required. By contrast, a BDC that needs an affirmative order declaring it has ceased to be an investment company files N-8F, which produces an 8F-2 NTC notice. The two datasets cover non-overlapping ICA exit pathways.
Form N-CEN (annual census) and Form N-CSR (certified shareholder reports with financials) are routine, filer-authored, substantive periodic reports. They are not deregistration documents, but a fund's final N-CEN and N-CSR typically immediately precede an 8F-2 NTC notice and document the liquidation, transfer, or merger that supplies the factual basis for the N-8F application. They are a useful precursor signal, not a substitute.
40-APP applications and the resulting 40-OIP notice/order releases share the same Rule 0-2 notice-and-order architecture as N-8F / 8F-2 NTC: applicant files, Commission issues a notice, order follows absent a hearing request. The substantive difference is direction: 40-APP seeks exemptive or other relief so a fund can continue operating in a non-standard configuration (affiliated transactions, fund-of-funds, ETF relief, multi-class), while 8F-2 NTC arises from an application to exit ICA registration entirely. Same procedural pattern, opposite lifecycle stage.
Rule 0-2 under the 1940 Act prescribes the general form, verification, and supporting-document requirements for applications to the Commission. It is the procedural rail that makes both N-8F deregistration matters and 40-APP exemptive matters follow the same notice-and-order cadence. Not a separate filing.
8F-2 NTC is defined by three intersecting attributes: (1) Commission-authored, not applicant-authored; (2) Section 8(f) ICA deregistration, not Exchange Act termination (Form 15/15-15D), BDC de-election (N-54C), or exemptive relief (40-APP); and (3) the notice stage only, not the N-8F application or the subsequent Section 8(f) order. A complete deregistration record pairs the 8F-2 NTC notice with the N-8F application, the final N-CEN and N-CSR, and the resulting order release. None of those adjacent filings substitutes for 8F-2 NTC.
The audience is narrow and specialized: each record marks a discrete regulatory milestone in a fund's exit, and users typically work from the JSON metadata (accession number, applicant name, file number, CIK, filing date, document URLs) and the PDF text (basis for deregistration, disposition-of-assets recital, hearing-request window).
In-house fund counsel and outside '40 Act lawyers are the primary users. When drafting a Form N-8F application, they cite prior 8F-2 NTC notices as precedent for the recitation of facts, the Section 8(f) basis, and the standard hearing-notice language. They mine the PDF text for phrasing and pull file numbers and CIKs to tie applications to their associated notices. They also watch the dataset to confirm that a notice on a pending application has actually been published.
Closure teams inside fund complexes treat the notice as the procedural marker that lets them sequence final tasks: striking a final NAV, sweeping residual cash, closing custody books, and terminating service-provider contracts conditional on entry of the order. They extract the applicant name, file number, notice date, and the hearing-request deadline language to feed internal closure checklists.
These teams use the notice as documentary evidence that deregistration is in process. The file number and applicant name support final shareholder distributions, escheatment, recordkeeping wind-down, and responses to intermediary inquiries about retired tickers. The PDF goes into the closure file as audit-trail support.
CCO teams use the CIK and file number to retire the registrant's periodic-filing obligations (N-CEN, N-CSR, N-PORT) and align 38a-1 program documentation, compliance calendars, and code-of-ethics scopes with terminated status once the order is entered.
Engineering and content teams at fund-data vendors and index providers ingest the JSON identifiers (CIK, file number, applicant name) to flag share classes, tickers, and CUSIPs as pending deregistration, and parse the PDF for any merger or asset-transfer language that should link the retiring fund to a surviving vehicle. Given the volume, this is folded into a broader fund-mortality pipeline rather than run as a standalone feed.
When deregistration follows a merger or asset transfer, deal counsel use the notice to confirm regulatory closure of the target. The applicant name, file number, basis text, and any reference to a receiving entity feed closing checklists, opinion back-up, and post-closing tracking.
Researchers focused on fund lifecycles use the dataset as a curated reference set — not a statistical sample. They examine the deregistration basis, the application-to-notice gap, and the disposition-of-assets narrative, joining identifiers to N-CEN, N-SAR, and N-CSR records for case studies and taxonomy work.
Use cases are calibrated to the scale of the dataset: precedent, lookup, and small-N reference work rather than statistical analysis.
A '40 Act associate preparing a new Form N-8F application loads the available PDFs into a precedent folder and extracts the recitation-of-facts paragraphs, Section 8(f) basis statements, and hearing-notice boilerplate. The applicant name, entities[].fileNo (811- series), and CIK from metadata.json label each precedent so it can be retrieved by fund type or deregistration basis. Output is a paragraph-level clause bank used to draft the new application's standard sections.
In-house fund counsel tracking a pending N-8F filed weeks earlier polls the dataset for the applicant's CIK or 811- file number in entities[].fileNo, then reads filedAt and linkToFilingDetails once a matching record appears. The hit confirms the Commission has published the notice and starts the internal countdown to the hearing-request deadline parsed out of the PDF body.
A reference-data team maintaining a fund-mortality master table joins each record's entities[].cik and entities[].fileNo to internal share-class, ticker, and CUSIP rows, flagging them as "deregistration notice published" with the accessionNo and filedAt as the source citation. The PDF is parsed for merger or asset-transfer language so any surviving acquirer can be linked back to the retiring fund in the lineage table.
A fund-lifecycle researcher building case studies pairs each 8F-2 NTC record with the matching N-8F application, the final N-CEN and N-CSR, and the eventual Section 8(f) order, joining on entities[].fileNo across the broader EDGAR corpus. The notice's filedAt and the hearing-deadline text inside the PDF anchor the procedural midpoint of the timeline; the disposition-of-assets recital classifies each case as liquidation, merger, or transfer.
A fund-administration closure team assembling the audit-trail file for a deregistering fund pulls the notice PDF via linkToFilingDetails, records the accessionNo and filedAt, and extracts the hearing-request window language to date-stamp the contingent termination of custody, transfer-agent, and audit contracts. The PDF is filed as documentary evidence supporting the final NAV strike and residual-cash sweep.
Deal counsel for a fund-merger transaction uses the dataset to confirm regulatory exit of the target. They retrieve the record by applicant name or 811- number, cite the accessionNo and notice date in the closing checklist, and quote the basis paragraph from the PDF (referencing the acquiring fund) as back-up for the regulatory-closure opinion and post-closing tracker.
Dataset Index JSON API: https://api.sec-api.io/datasets/form-8f2-ntc-files.json
This endpoint returns dataset metadata and the full list of container files. Metadata includes the dataset name, description, last update timestamp, earliest sample date, total record count and total size, covered form types (8F-2 NTC), container format (ZIP), and the content file types (PDF, JSON). The response also includes the full dataset download URL and a containers[] array, where each entry lists the container key, size, record count, last updated timestamp, and a direct download URL. This endpoint does not require an API key.
The updatedAt field on each container can be polled daily to detect which containers have changed in the most recent refresh run, so downstream pipelines only re-download containers that actually changed.
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{
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"datasetId": "1f13365b-9ae0-6a7e-a07e-9639a93dea5d",
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"datasetDownloadUrl": "https://api.sec-api.io/datasets/form-8f2-ntc-files.zip",
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"name": "Form 8F-2 NTC Files Dataset",
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"updatedAt": "2026-04-16T08:57:53.466Z",
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"earliestSampleDate": "2010-03-01",
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"totalRecords": 6,
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"totalSize": 378556,
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"formTypes": ["8F-2 NTC"],
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"containerFormat": "ZIP",
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"fileTypes": ["PDF", "JSON"],
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"containers": [
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{
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"downloadUrl": "https://api.sec-api.io/datasets/form-8f2-ntc-files/2026/2026-03.zip",
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"key": "2026/2026-03.zip",
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"size": 63482,
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"records": 1,
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"updatedAt": "2026-04-16T08:57:53.466Z"
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}
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]
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}
Download Entire Dataset: https://api.sec-api.io/datasets/form-8f2-ntc-files.zip?token=YOUR_API_KEY
Downloads the complete dataset as a single ZIP archive. Because Form 8F-2 NTC filings are infrequent and the full dataset is small, downloading the entire archive in one request is the simplest and most practical approach for most users. This endpoint requires an API key.
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curl -o form-8f2-ntc-files.zip \
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"https://api.sec-api.io/datasets/form-8f2-ntc-files.zip?token=YOUR_API_KEY"
Or with a Bearer header:
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curl -H "Authorization: Bearer YOUR_API_KEY" \
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-o form-8f2-ntc-files.zip \
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"https://api.sec-api.io/datasets/form-8f2-ntc-files.zip"
Download Single Container: https://api.sec-api.io/datasets/form-8f2-ntc-files/2026/2026-03.zip?token=YOUR_API_KEY
Downloads a single monthly container instead of the full archive. Use the downloadUrl values from the containers[] array in the dataset index JSON to target a specific month. This endpoint requires an API key.
The dataset covers EDGAR form code 8F-2 NTC — a notice issued by the Securities and Exchange Commission announcing that a registered investment company has applied under Section 8(f) of the Investment Company Act of 1940, pursuant to Rule 0-2, for an order declaring that it has ceased to be an investment company. It does not include the underlying Form N-8F application or the eventual Section 8(f) deregistration order; those are separate documents under different EDGAR form codes.
The Commission authors and publishes the notice. It is drafted by staff in the Division of Investment Management's Chief Counsel's Office and disseminated on EDGAR under a Commission-controlled identity (typically the internal filer CIK 9999999997). The investment company being deregistered — the "applicant" — is named inside the notice and identified by its 811- (or 814- for BDCs) Investment Company Act file number, but it is not the EDGAR filer.
One record is a single EDGAR submission of an 8F-2 NTC notice, identified by one accession number. On disk it is an accession-number folder containing a metadata.json sidecar plus the original Commission notice as a PDF, placed under a YYYY-MM/ directory inside a monthly YYYY/YYYY-MM.zip container.
Coverage starts on March 1, 2010 and runs to the present, with new records added when the Commission publishes additional 8F-2 NTC notices. Refreshes are reflected in the updatedAt field on each container in the dataset index JSON.
Each record contains a metadata.json file (the parsed EDGAR header and document index) and one or more PDF files (the Commission notice itself, served by EDGAR as a fixed-layout %PDF-1.4 binary). Image files are excluded by dataset policy, and the EDGAR .txt complete-submission wrapper and filing-index HTML page are referenced via URL inside metadata.json rather than bundled.
Form N-8F is the applicant-authored Section 8(f) deregistration application; 8F-2 NTC is the Commission-authored procedural notice that summarizes that application and starts the hearing-request clock. Form N-54C is a self-executing notice filed by a business development company to withdraw its Section 54(a) election under Section 54(c) of the 1940 Act; it does not produce an 8F-2 NTC because no Commission order is required. The three filings cover distinct stages and pathways and are not interchangeable.
The hearing-request window is typically 25 days from the date of the notice, with the exact deadline stated in each individual notice. Absent a timely hearing request or sua sponte Commission action, the Commission issues a separate deregistration order on the terms stated in the application.