First Trust Specialty Finance SEC Filings

Welcome to our dedicated page for First Trust Specialty Finance SEC filings (Ticker: FGB), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.

This page provides access to historical SEC filings for First Trust Specialty Finance and Financial Opportunities Fund (FGB), a diversified, closed-end management investment company organized as a Massachusetts business trust. FGB was managed by First Trust Advisors L.P. and sub-advised by Confluence Investment Management LLC, and its common shares of beneficial interest were previously listed on the New York Stock Exchange.

Among the key documents available are current reports on Form 8-K and the Form 25 (Notification of Removal from Listing and/or Registration under Section 12(b) of the Securities Exchange Act of 1934). The June 30, 2025 Form 8-K reports that the reorganization of FGB into FT Confluence BDC & Specialty Finance Income ETF (FBDC), an actively managed ETF, was completed prior to the open of the NYSE on that date. The Form 25 filing for First Trust Specialty Finance & Financial Opportunities Fund confirms the removal of its common shares of beneficial interest from listing on the New York Stock Exchange LLC.

FGB’s regulatory filings, including shareholder reports and other documents referenced in its press releases, describe its investment objectives, its policy of investing at least 80% of managed assets in specialty finance and other financial companies, and its use of BDCs, REITs, mortgage-related securities and other asset-backed securities. They also outline principal risk factors such as market risk, current market conditions risk, sector concentration in financials, and the impact of leverage.

On Stock Titan, these filings are supplemented with AI-powered summaries that highlight the most important points in lengthy documents, helping readers understand the implications of events such as the ETF reorganization and delisting. Real-time updates from the SEC’s EDGAR system ensure that new filings, including Forms 8-K, 10-K equivalents for registered funds, and other regulatory materials, appear quickly. Users can also review filings related to distributions and other shareholder communications, with AI-generated explanations that clarify complex language and structure.

For anyone researching what happened to FGB’s listing, how its assets and liabilities were transitioned to FBDC, or how the fund described its risks and investment strategy over time, this filings page offers a structured, searchable view of its regulatory history with AI assistance to interpret the details.