APP NTC: SEC notices of 40-APP exemptive applications
APP NTC: the SEC's public notice of an application for exemptive relief, opening the comment and hearing request period.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%22APP%20NTC%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"APP NTC"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is APP NTC?
When a fund, adviser or other applicant asks the SEC for an exemptive order under the Investment Company Act or the Advisers Act, the application is filed as a 40-APP. Before granting most orders the SEC publishes a notice describing the application and giving the public a period to request a hearing. EDGAR labels that notice APP NTC and files it under the applicant's CIK.
Notices summarize the relief requested and the conditions the applicants agree to, so they are a compact way to follow trends in relief such as co-investment, multi-class structures for interval funds or ETF arrangements.
Filed by the SEC staff under the applicant's CIK, on behalf of the Commission.
After the application is in a form the staff is prepared to notice, usually shortly before an order is issued.
Filings per year
Every APP NTC filing on EDGAR, counted from the SecFeed index. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Applicants | The funds, advisers and affiliates that applied. |
| Summary of the application | What relief is requested and why. |
| Conditions | The conditions applicants agree to if the order is granted. |
| Hearing request deadline | How and by when interested persons can request a hearing. |
Get APP NTC data with SecFeed
Search the filings with formType:"APP NTC", read any document as text or PDF, and use these APIs for structured data:
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Latest APP NTC filings
| Company | Form | Filed | |
|---|---|---|---|
| Pender Real Estate Credit Fund | APP NTC | 2026-10-05 | EDGAR ↗ |
| Wilmington Trust, National Association | APP NTC | 2026-10-02 | EDGAR ↗ |
| OneAscent Capital Opportunities Fund | APP NTC | 2026-09-17 | EDGAR ↗ |
| FENIMORE ASSET MANAGEMENT TRUST | APP NTC | 2026-08-26 | EDGAR ↗ |
| ARK Venture Fund | APP NTC | 2026-08-24 | EDGAR ↗ |
| COHEN & STEERS REALTY SHARES INC | APP NTC | 2026-08-20 | EDGAR ↗ |
| Cliffwater Corporate Lending Fund | APP NTC | 2026-08-17 | EDGAR ↗ |
| Northern Lights Fund Trust | APP NTC | 2026-08-14 | EDGAR ↗ |
Use cases
- Track which fund managers seek co-investment relief
- Monitor new kinds of exemptive relief as they appear
- Pair notices with the final orders
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
N-23C3AInterval fund repurchase noticeForm N-23C-3 notifications of interval fund repurchase offers under Rule 23c-3: offer amount, pricing date and repurchase deadline.
FAQ
What happens after an APP NTC?
If no hearing is requested, the SEC usually issues an order granting the relief, filed as APP ORDR.
Where is the application itself?
Under the 40-APP form type for the same applicant.
Every APP NTC filing, one API call away
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