Form 40-6C: applications for exemptive orders under the Investment Company Act (1996 to 2007)
Applications to the SEC for exemptive orders under the Investment Company Act filed under this type until 2007, such as early ETF relief.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%2240-6C%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"40-6C"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is 40-6C?
Before 2008, applications for exemptive relief under Section 6(c) of the Investment Company Act were indexed on EDGAR as 40-6C. Fund sponsors used them to ask the SEC for orders permitting things the Act would otherwise prohibit, and many early exchange traded fund launches went through this process.
EDGAR later consolidated these applications under the 40-APP type, which is where newer applications are found.
Investment companies, advisers and sponsors seeking exemptive orders.
Whenever relief was sought; used from 1996 to 2007.
Filings per year
Every 40-6C filing on EDGAR, counted from the SecFeed index, amendments included. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Applicants | The funds and sponsors requesting relief. |
| Relief requested | The sections of the Act and the conduct covered. |
| Conditions | Undertakings the applicants agree to. |
| Legal analysis | Why the relief is appropriate. |
Get 40-6C data with SecFeed
Search the filings with formType:"40-6C", 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.
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Latest 40-6C filings
| Company | Form | Filed | |
|---|---|---|---|
| BEAR STEARNS ACTIVE ETF TRUST | 40-6C/A | 2007-12-10 | EDGAR ↗ |
| VTL Associates, LLC | 40-6C/A | 2007-12-07 | EDGAR ↗ |
| Main Street Mezzanine Management LLC | 40-6C/A | 2007-12-04 | EDGAR ↗ |
| AIM DISTRIBUTORS INC | 40-6C/A | 2007-11-30 | EDGAR ↗ |
| Restoration Opportunities Fund | 40-6C/A | 2007-11-29 | EDGAR ↗ |
| JP MORGAN SERIES TRUST II | 40-6C/A | 2007-11-21 | EDGAR ↗ |
| CAPITAL INTERNATIONAL EMERGING MARKETS FUND | 40-6C/A | 2007-11-21 | EDGAR ↗ |
| ALPS ETF Trust | 40-6C | 2007-10-02 | EDGAR ↗ |
Use cases
- Research the history of ETF and fund exemptive relief
- Trace a sponsor's applications before 2008
Related forms
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
APP ORDRExemptive relief ordersSEC orders granting applications for exemptive or other relief from the federal securities laws, mostly under the Investment Company Act.
FAQ
What replaced 40-6C?
Exemptive applications under the Investment Company Act are now filed as 40-APP.
What is Section 6(c) relief?
Section 6(c) lets the SEC exempt persons or transactions from provisions of the Investment Company Act by order.
Every 40-6C filing, one API call away
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