Step 1 of 6: Identity
SEC Filings & Disclosure
Broker-dealers, advisers & fundsPrepare an initial or amended Investment Company Act exemptive application, preserve applicants, facts, legal standards, requested order, conditions, precedent, correspondence, verification, signatures, and exhibits; submit through EDGAR; distinguish EDGAR acceptance from a later Commission exemptive order.
Basis: Investment company applications
/sec/startSecurities Exchange Act of 1934; Regulations S-K, S-X, S-T; 17 CFR Parts 229, 232, 240, 249
6 steps, completed in order. Each step is validated against the schema before the next unlocks.
Step 1 of 6
ScreenSEC › SEC Workflows › Form 40-APP exemptive applicationstep 1
Complete the Identity fields. Each value is validated against the schema before the next step unlocks.
Applicant or investment company (required)
entityIdSelect the principal applicant; identify every co-applicant in the applicant-parties evidence.
Step 2 of 6
ScreenSEC › SEC Workflows › Form 40-APP exemptive applicationstep 2
Complete the Scope fields. Each value is validated against the schema before the next step unlocks.
Application filing type (required)
filingVariantEnter application filing type.
Prior Form 40-APP accession numberoptional
priorAccessionNumberEnter prior form 40-app accession number.
Investment Company Act sections and rules relief matrix ID (required)
reliefAuthorityArtifactIdEnter investment company act sections and rules relief matrix id.
Applicants, affiliates, advisers, and requested-relief parties ID (required)
applicantPartiesArtifactIdEnter applicants, affiliates, advisers, and requested-relief parties id.
Step 3 of 6
ScreenSEC › SEC Workflows › Form 40-APP exemptive applicationstep 3
Complete the Application fields. Each value is validated against the schema before the next step unlocks.
Material facts and proposed transaction artifact ID (required)
factsAndTransactionArtifactIdEnter material facts and proposed transaction artifact id.
Statutory standards and legal analysis artifact ID (required)
legalAnalysisArtifactIdEnter statutory standards and legal analysis artifact id.
Requested order and proposed conditions artifact ID (required)
requestedOrderAndConditionsArtifactIdEnter requested order and proposed conditions artifact id.
Precedent applications and material deviations artifact ID (required)
precedentAndDeviationArtifactIdEnter precedent applications and material deviations artifact id.
Step 4 of 6
ScreenSEC › SEC Workflows › Form 40-APP exemptive applicationstep 4
Complete the Review fields. Each value is validated against the schema before the next step unlocks.
SEC staff correspondence and response-lineage artifact ID (required)
staffCorrespondenceArtifactIdEnter sec staff correspondence and response-lineage artifact id.
Step 5 of 6
ScreenSEC › SEC Workflows › Form 40-APP exemptive applicationstep 5
Complete the Governance fields. Each value is validated against the schema before the next step unlocks.
Board or trustee approval artifact ID (required)
boardApprovalArtifactIdEnter board or trustee approval artifact id.
Verification and authorized signatures artifact ID (required)
verificationAndSignatureArtifactIdEnter verification and authorized signatures artifact id.
Investment-management counsel approval artifact ID (required)
legalApprovalArtifactIdEnter investment-management counsel approval artifact id.
Step 6 of 6
ScreenSEC › SEC Workflows › Form 40-APP exemptive applicationstep 6
Complete the Package fields. Each value is validated against the schema before the next step unlocks.
Form 40-APP application document artifact ID (required)
applicationDocumentArtifactIdEnter form 40-app application document artifact id.
Exhibit index and incorporated materials artifact ID (required)
exhibitIndexArtifactIdEnter exhibit index and incorporated materials artifact id.
EDGAR package validation artifact ID (required)
edgarValidationArtifactIdEnter edgar package validation artifact id.
Continue with the next guide in this framework's table of contents.
Select the legally operative form version and filing type, calculate adviser/fund scope and deadlines, capture all applicable fund, strategy, exposure, liquidity, leverage, counterparty, risk, aggregation, look-through, estimate, and assumption data, obtain data-owner and CCO approvals, validate the confidential XML or portal payload, submit through PFRD, and reconcile its receipt.
Read guide Broker-dealers, advisers & fundsPrepare an initial, amendment, or cessation notice for a non-NMS ATS; gate NMS stock activity into Form ATS-N; capture broker-dealer registration, operations, access, fair-access, order-display, systems, surveillance, books, records, safeguards, exhibits, and signature evidence; and reconcile Commission receipt without representing the notice as Commission approval.
Read guide Broker-dealers, advisers & fundsChoose the exact ATS-N submission type; conditionally bind the prior accession; complete Parts I-III as applicable, public operations, affiliate, conflict, segmentation, access, fee, and order-handling disclosure; calculate review, withdrawal, cessation, and effectiveness paths; validate the structured EDGAR package; and wait for Commission effectiveness evidence after acceptance.
Read guide