Form 40-206A applications under Advisers Act Section 206A

Applications for exemptive orders under Section 206A of the Investment Advisers Act, often recorded as paper submissions.

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87filings on EDGAR

2002first filed

2022-10-17latest filing

curl -H "Authorization: Bearer $SECFEED_KEY" \
  "https://secfeedapi.com/v1/filings?query=formType:%2240-206A%22&size=2"

import os, requests

r = requests.get(
    "https://secfeedapi.com/v1/filings",
    params={'query': 'formType:"40-206A"', 'size': '2'},
    headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())

What is 40-206A?

Section 206A of the Investment Advisers Act lets the SEC exempt persons or transactions from provisions of the Act by order. Investment advisers apply for such relief, and the applications appear on EDGAR as 40-206A.

Many are recorded as paper submissions, so the index gives the applicant and date while the text sits with the SEC.

Who files

Investment advisers seeking exemptive relief.

When it is filed

Whenever an adviser applies for an exemption.

Filings per year

Every 40-206A filing on EDGAR, counted from the SecFeed index, amendments included. Updated daily.

What is inside

Section	Contents
Applicant	The adviser seeking relief.
Relief requested	The provisions of the Act involved.
Representations	Conditions the applicant agrees to.

Get 40-206A data with SecFeed

Search the filings with formType:"40-206A", read any document as text or PDF, and use these APIs for structured data:

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Latest 40-206A filings

Company	Form	Filed
Calmwater Asset Management, LLC	`40-206A`	2022-10-17	EDGAR ↗
Blackstone Alternative Investment Funds	`40-206A/A`	2020-07-21	EDGAR ↗
Blackstone Alternative Investment Funds	`40-206A/A`	2020-04-28	EDGAR ↗
D.B. FITZPATRICK & CO INC	`40-206A/A`	2020-03-23	EDGAR ↗
D.B. FITZPATRICK & CO INC	`40-206A`	2020-01-22	EDGAR ↗
Blackstone Alternative Investment Advisors LLC	`40-206A`	2019-06-25	EDGAR ↗
Blackstone Alternative Investment Funds	`40-206A`	2019-06-25	EDGAR ↗
Generation Investment Management US LLP	`40-206A/A`	2019-01-28	EDGAR ↗

Use cases

Track exemptive relief requested by advisers

Related forms

40-APPExemptive relief request

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

FAQ

How is this different from 40-APP?

40-APP covers applications under the Investment Company Act; 40-206A covers the Advisers Act.

Why are some documents unreadable?

Paper submissions appear on EDGAR as placeholders with a document control number.

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