83 FR 55438 - Cushing Asset Management, LP and Cushing ETF Trust
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 83, Issue 214 (November 5, 2018)
Federal Register Volume 83, Issue 214 (November 5, 2018)
| Page Range | 55438-55439 | |
| FR Document | 2018-24077 |
[Federal Register Volume 83, Number 214 (Monday, November 5, 2018)] [Notices] [Pages 55438-55439] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-24077] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 33285; 812-14945] Cushing Asset Management, LP and Cushing ETF Trust October 30, 2018. AGENCY: Securities and Exchange Commission (``Commission''). ACTION: Notice. ----------------------------------------------------------------------- Notice of an application under section 6(c) of the Investment Company Act of 1940 (``Act'') for an exemption from section 15(a) of the Act and rule 18f-2 under the Act, as well as from certain disclosure requirements in rule 20a-1 under the Act, Item 19(a)(3) of Form N-1A, Items 22(c)(1)(ii), 22(c)(1)(iii), 22(c)(8) and 22(c)(9) of Schedule 14A under the Securities Exchange Act of 1934, and Sections 6- 07(2)(a), (b), and (c) of Regulation S-X (``Disclosure Requirements''). The requested exemption would permit an investment adviser to hire and replace certain sub-advisers without shareholder approval and grant relief from the Disclosure Requirements as they relate to fees paid to the sub-advisers. Applicants: Cushing ETF Trust (the ``Trust''), a Delaware statutory trust registered under the Act as an open-end management investment company with multiple series, and Cushing Asset Management, LP (the ``Initial Adviser''), a Texas limited partnership registered as an investment adviser under the Investment Advisers Act of 1940. Filing Dates: The application was filed on August 31, 2018. Hearing or Notification of Hearing: An order granting the application will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission's Secretary and serving applicants with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30 p.m. on November 26, 2018, and should be accompanied by proof of service on applicants, in the form of an affidavit or, for lawyers, a certificate of service. Pursuant to rule 0-5 under the Act, hearing requests should state the nature of the writer's interest, any facts bearing upon the desirability of a hearing on the matter, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission's Secretary. ADDRESSES: Secretary, U.S. Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090. Applicants: Cushing Asset Management, LP and Cushing ETF Trust, 8117 Preston Road, Suite 440, Dallas, TX 75225. FOR FURTHER INFORMATION CONTACT: Rachel Loko, Senior Counsel, at (202) 551-6883, or Aaron Gilbride, Branch Chief, at (202) 551-6906 (Division of Investment Management, Chief Counsel's Office). SUPPLEMENTARY INFORMATION: The following is a summary of the application. The complete application may be obtained via the Commission's website by searching for the file number, or for an applicant using the Company name box, at http://www.sec.gov/search/search.htm or by calling (202) 551-8090. Summary of the Application 1. The Initial Adviser is the investment adviser to the Cushing Energy & MLP ETF, Cushing Utility & MLP ETF, Cushing Transportation & MLP ETF and Cushing Energy Supply Chain & MLP ETF (together, the ``Initial Funds''), each a series of the Trust, pursuant to an investment management agreement with the Trust (``Investment Management Agreement'').\1\ Under the terms of the Investment Management Agreement, the Adviser, subject to the supervision of the board of trustees of the Trust (``Board''), provides continuous investment management of the assets of each Subadvised Fund. Consistent with the terms of the Investment Management Agreement, the Adviser may, subject to the approval of the Board, delegate portfolio management responsibilities of all or a portion of the assets of a Subadvised Fund to one or more Sub-Advisers.\2\ The Adviser will continue to have overall responsibility for the management and investment of the assets of each Subadvised Fund. The Adviser will evaluate, select, and recommend Sub-Advisers to manage the assets of a Subadvised Fund and will oversee, monitor and review the Sub-Advisers and their performance and recommend the removal or replacement of Sub-Advisers. --------------------------------------------------------------------------- \1\ Applicants request relief with respect to the Initial Funds, as well as to any future series of the Trust and any other existing or future registered open-end management investment company or series thereof that, in each case, is advised by the Initial Adviser or any entity controlling, controlled by, or under common control with, the Initial Adviser or its successors (each, also an ``Adviser''), uses the multi-manager structure described in the application, and complies with the terms and conditions set forth in the application (each, a ``Subadvised Fund''). For purposes of the requested order, ``successor'' is limited to an entity that results from a reorganization into another jurisdiction or a change in the type of business organization. Future Subadvised Funds may be operated as a master-feeder structure pursuant to section 12(d)(1)(E) of the Act. In such a structure, certain series of the Trust (each, a ``Feeder Fund'') may invest substantially all of their assets in a Subadvised Fund (a ``Master Fund'') pursuant to section 12(d)(1)(E) of the Act. No Feeder Fund will engage any sub- advisers other than through approving the engagement of one or more of the Master Fund's sub-advisers. \2\ As used herein, a ``Sub-Adviser'' for a Subadvised Fund is (1) an indirect or direct ``wholly owned subsidiary'' (as such term is defined in the Act) of the Adviser for that Subadvised Fund, or (2) a sister company of the Adviser for that Subadvised Fund that is an indirect or direct ``wholly-owned subsidiary'' of the same company that, indirectly or directly, wholly owns the Adviser (each of (1) and (2) a ``Wholly-Owned Sub-Adviser'' and collectively, the ``Wholly-Owned Sub-Advisers''), or (3) not an ``affiliated person'' (as such term is defined in section 2(a)(3) of the Act) of the Subadvised Fund, any Feeder Fund invested in a Master Fund, the Trust, or the Adviser, except to the extent that an affiliation arises solely because the Sub-Adviser serves as a sub-adviser to a Subadvised Fund (``Non-Affiliated Sub-Advisers''). --------------------------------------------------------------------------- 2. Applicants request an order to permit the Adviser, subject to the approval of the Board, to enter into investment sub-advisory agreements with the Sub-Advisers (each, a ``Sub-Advisory Agreement'') and materially amend such Sub-Advisory Agreements without obtaining the shareholder approval required under section 15(a) of the Act and rule 18f-2 under the Act.\3\ Applicants also seek an exemption from the Disclosure Requirements to permit a Subadvised Fund to disclose (as both a dollar amount and a percentage of the Subadvised Fund's net assets): (a) The aggregate fees paid to the Adviser and any Wholly- Owned Sub-Adviser; (b) the aggregate fees paid to Non-Affiliated Sub- Advisers; and (c) the fee paid to each Affiliated Sub-Adviser (collectively, Aggregate Fee Disclosure'').\4\ --------------------------------------------------------------------------- \3\ The requested relief will not extend to any sub-adviser, other than a Wholly-Owned Sub-Adviser, who is an affiliated person, as defined in section 2(a)(3) of the Act, of the Subadvised Fund, of any Feeder Fund, or of the Adviser, other than by reason of serving as a sub-adviser to one or more of the Subadvised Funds (``Affiliated Sub-Adviser''). \4\ For any Subadvised Fund that is a Master Fund, the relief would also permit any Feeder Fund invested in that Master Fund to disclose Aggregate Fee Disclosure. --------------------------------------------------------------------------- [[Page 55439]] 3. Applicants agree that any order granting the requested relief will be subject to the terms and conditions stated in the application. Such terms and conditions provide for, among other safeguards, appropriate disclosure to Subadvised Funds' shareholders and notification about sub-advisory changes and enhanced Board oversight to protect the interests of the Subadvised Funds' shareholders. 4. Section 6(c) of the Act provides that the Commission may exempt any person, security, or transaction or any class or classes of persons, securities, or transactions from any provisions of the Act, or any rule thereunder, if such relief is necessary or appropriate in the public interest and consistent with the protection of investors and purposes fairly intended by the policy and provisions of the Act. Applicants believe that the requested relief meets this standard because, as further explained in the application, the Investment Management Agreements will remain subject to shareholder approval, while the role of the Sub-Advisers is substantially equivalent to that of individual portfolio managers, so that requiring shareholder approval of Sub-Advisory Agreements would impose unnecessary delays and expenses on the Subadvised Funds. Applicants believe that the requested relief from the Disclosure Requirements meets this standard because it will improve the Adviser's ability to negotiate fees paid to the Sub- Advisers that are more advantageous for the Subadvised Funds. For the Commission, by the Division of Investment Management, under delegated authority. Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2018-24077 Filed 11-2-18; 8:45 am] BILLING CODE 8011-01-P
![55438 Federal Register / Vol. 83, No. 214 / Monday, November 5, 2018 / Notices
to make available publicly. All by 5:30 p.m. on November 26, 2018, and Agreement, the Adviser, subject to the
submissions should refer to File should be accompanied by proof of supervision of the board of trustees of
Number SR–CboeBZX–2018–079, and service on applicants, in the form of an the Trust (‘‘Board’’), provides
should be submitted on or before affidavit or, for lawyers, a certificate of continuous investment management of
November 26, 2018. service. Pursuant to rule 0–5 under the the assets of each Subadvised Fund.
For the Commission, by the Division of Act, hearing requests should state the Consistent with the terms of the
Trading and Markets, pursuant to delegated nature of the writer’s interest, any facts Investment Management Agreement, the
authority.14 bearing upon the desirability of a Adviser may, subject to the approval of
Eduardo A. Aleman, hearing on the matter, the reason for the the Board, delegate portfolio
Assistant Secretary. request, and the issues contested. management responsibilities of all or a
Persons who wish to be notified of a portion of the assets of a Subadvised
[FR Doc. 2018–24067 Filed 11–2–18; 8:45 am]
hearing may request notification by Fund to one or more Sub-Advisers.2 The
BILLING CODE 8011–01–P
writing to the Commission’s Secretary. Adviser will continue to have overall
ADDRESSES: Secretary, U.S. Securities responsibility for the management and
SECURITIES AND EXCHANGE and Exchange Commission, 100 F Street investment of the assets of each
COMMISSION NE, Washington, DC 20549–1090. Subadvised Fund. The Adviser will
Applicants: Cushing Asset Management, evaluate, select, and recommend Sub-
[Investment Company Act Release No. LP and Cushing ETF Trust, 8117 Preston Advisers to manage the assets of a
33285; 812–14945] Road, Suite 440, Dallas, TX 75225. Subadvised Fund and will oversee,
FOR FURTHER INFORMATION CONTACT: monitor and review the Sub-Advisers
Cushing Asset Management, LP and
Rachel Loko, Senior Counsel, at (202) and their performance and recommend
Cushing ETF Trust
551–6883, or Aaron Gilbride, Branch the removal or replacement of Sub-
October 30, 2018. Chief, at (202) 551–6906 (Division of Advisers.
AGENCY: Securities and Exchange Investment Management, Chief 2. Applicants request an order to
Commission (‘‘Commission’’). Counsel’s Office). permit the Adviser, subject to the
ACTION: Notice. SUPPLEMENTARY INFORMATION: The approval of the Board, to enter into
following is a summary of the investment sub-advisory agreements
Notice of an application under section application. The complete application with the Sub-Advisers (each, a ‘‘Sub-
6(c) of the Investment Company Act of may be obtained via the Commission’s Advisory Agreement’’) and materially
1940 (‘‘Act’’) for an exemption from website by searching for the file amend such Sub-Advisory Agreements
section 15(a) of the Act and rule 18f–2 number, or for an applicant using the without obtaining the shareholder
under the Act, as well as from certain Company name box, at http:// approval required under section 15(a) of
disclosure requirements in rule 20a–1 www.sec.gov/search/search.htm or by the Act and rule 18f–2 under the Act.3
under the Act, Item 19(a)(3) of Form calling (202) 551–8090. Applicants also seek an exemption from
N–1A, Items 22(c)(1)(ii), 22(c)(1)(iii), the Disclosure Requirements to permit a
22(c)(8) and 22(c)(9) of Schedule 14A Summary of the Application
Subadvised Fund to disclose (as both a
under the Securities Exchange Act of 1. The Initial Adviser is the dollar amount and a percentage of the
1934, and Sections 6–07(2)(a), (b), and investment adviser to the Cushing Subadvised Fund’s net assets): (a) The
(c) of Regulation S–X (‘‘Disclosure Energy & MLP ETF, Cushing Utility & aggregate fees paid to the Adviser and
Requirements’’). The requested MLP ETF, Cushing Transportation & any Wholly-Owned Sub-Adviser; (b) the
exemption would permit an investment MLP ETF and Cushing Energy Supply aggregate fees paid to Non-Affiliated
adviser to hire and replace certain sub- Chain & MLP ETF (together, the ‘‘Initial Sub-Advisers; and (c) the fee paid to
advisers without shareholder approval Funds’’), each a series of the Trust, each Affiliated Sub-Adviser
and grant relief from the Disclosure pursuant to an investment management (collectively, Aggregate Fee
Requirements as they relate to fees paid agreement with the Trust (‘‘Investment Disclosure’’).4
to the sub-advisers. Management Agreement’’).1 Under the
APPLICANTS: Cushing ETF Trust (the terms of the Investment Management 2 As used herein, a ‘‘Sub-Adviser’’ for a
‘‘Trust’’), a Delaware statutory trust Subadvised Fund is (1) an indirect or direct
registered under the Act as an open-end 1 Applicants request relief with respect to the ‘‘wholly owned subsidiary’’ (as such term is defined
Initial Funds, as well as to any future series of the in the Act) of the Adviser for that Subadvised Fund,
management investment company with or (2) a sister company of the Adviser for that
Trust and any other existing or future registered
multiple series, and Cushing Asset open-end management investment company or Subadvised Fund that is an indirect or direct
Management, LP (the ‘‘Initial Adviser’’), series thereof that, in each case, is advised by the ‘‘wholly-owned subsidiary’’ of the same company
a Texas limited partnership registered as Initial Adviser or any entity controlling, controlled that, indirectly or directly, wholly owns the Adviser
by, or under common control with, the Initial (each of (1) and (2) a ‘‘Wholly-Owned Sub-Adviser’’
an investment adviser under the and collectively, the ‘‘Wholly-Owned Sub-
Adviser or its successors (each, also an ‘‘Adviser’’),
Investment Advisers Act of 1940. uses the multi-manager structure described in the Advisers’’), or (3) not an ‘‘affiliated person’’ (as such
FILING DATES: The application was filed application, and complies with the terms and term is defined in section 2(a)(3) of the Act) of the
on August 31, 2018. conditions set forth in the application (each, a Subadvised Fund, any Feeder Fund invested in a
‘‘Subadvised Fund’’). For purposes of the requested Master Fund, the Trust, or the Adviser, except to
HEARING OR NOTIFICATION OF HEARING: An order, ‘‘successor’’ is limited to an entity that the extent that an affiliation arises solely because
order granting the application will be results from a reorganization into another the Sub-Adviser serves as a sub-adviser to a
issued unless the Commission orders a jurisdiction or a change in the type of business Subadvised Fund (‘‘Non-Affiliated Sub-Advisers’’).
3 The requested relief will not extend to any sub-
hearing. Interested persons may request organization. Future Subadvised Funds may be
operated as a master-feeder structure pursuant to adviser, other than a Wholly-Owned Sub-Adviser,
a hearing by writing to the section 12(d)(1)(E) of the Act. In such a structure, who is an affiliated person, as defined in section
Commission’s Secretary and serving certain series of the Trust (each, a ‘‘Feeder Fund’’) 2(a)(3) of the Act, of the Subadvised Fund, of any
applicants with a copy of the request, may invest substantially all of their assets in a Feeder Fund, or of the Adviser, other than by
Subadvised Fund (a ‘‘Master Fund’’) pursuant to reason of serving as a sub-adviser to one or more
personally or by mail. Hearing requests of the Subadvised Funds (‘‘Affiliated Sub-
section 12(d)(1)(E) of the Act. No Feeder Fund will
should be received by the Commission engage any sub-advisers other than through Adviser’’).
approving the engagement of one or more of the 4 For any Subadvised Fund that is a Master Fund,
14 17 CFR 200.30–3(a)(12). Master Fund’s sub-advisers. the relief would also permit any Feeder Fund
VerDate Sep<11>2014 18:38 Nov 02, 2018 Jkt 247001 PO 00000 Frm 00093 Fmt 4703 Sfmt 4703 E:\FR\FM\05NON1.SGM 05NON1](https://thefederalregister.org/doc/83_FR_55652/page/1.svg)
![Federal Register / Vol. 83, No. 214 / Monday, November 5, 2018 / Notices 55439
3. Applicants agree that any order with the Securities and Exchange management investment company.8 The
granting the requested relief will be Commission (‘‘Commission’’), pursuant Fund is a series of the Trust. First Trust
subject to the terms and conditions to Section 19(b)(1) of the Securities Advisors L.P. is the investment adviser
stated in the application. Such terms Exchange Act of 1934 (‘‘Act’’) 1 and Rule (‘‘Adviser’’) to the Fund. TCW
and conditions provide for, among other 19b–4 thereunder,2 a proposed rule Investment Management Company LLC
safeguards, appropriate disclosure to change seeking to modify investments of (‘‘TCW’’ or the ‘‘Sub-Adviser’’), serves
Subadvised Funds’ shareholders and the First Trust TCW Unconstrained Plus as the Fund’s investment sub-adviser.9
notification about sub-advisory changes Bond ETF, the shares of which are First Trust Portfolios L.P. is the
and enhanced Board oversight to protect currently listed and traded on the distributor for the Fund’s Shares. The
the interests of the Subadvised Funds’ Exchange pursuant to NYSE Arca Rule Bank of New York Mellon acts as the
shareholders. 8.600–E. The proposed rule change was
4. Section 6(c) of the Act provides that administrator, custodian and transfer
published for comment in the Federal agent for the Fund.
the Commission may exempt any Register on August 1, 2018.3
person, security, or transaction or any On September 14, 2018, pursuant to A. Principal Investments of the Fund
class or classes of persons, securities, or Section 19(b)(2) of the Act,4 the
transactions from any provisions of the Commission extended the time period According to the Exchange, the
Act, or any rule thereunder, if such within which to approve the proposed investment objective of the Fund is to
relief is necessary or appropriate in the rule change, disapprove the proposed seek to maximize long-term total return.
public interest and consistent with the rule change, or institute proceedings to Under normal market conditions,10 the
protection of investors and purposes determine whether to disapprove the Fund intends to invest at least 80% of
fairly intended by the policy and proposed rule change.5 The Commission its net assets (including investment
provisions of the Act. Applicants has received no comment letters on the
believe that the requested relief meets proposed rule change. The Commission 8 The Exchange represents that the Trust is
this standard because, as further is publishing this order to institute registered under the Investment Company Act of
explained in the application, the proceedings under Section 19(b)(2)(B) of 1940 (‘‘1940 Act’’). On May 29, 2018, the Trust filed
Investment Management Agreements with the Commission its registration statement
the Act 6 to determine whether to (‘‘Registration Statement’’) on Form N–1A under the
will remain subject to shareholder approve or disapprove the proposed Securities Act of 1933 and under the 1940 Act
approval, while the role of the Sub- rule change. relating to the Fund (File Nos. 333–210186 and
Advisers is substantially equivalent to 811–23147). In addition, the Exchange represents
that of individual portfolio managers, so I. Summary of the Proposal 7 that the Trust has obtained an order from the
that requiring shareholder approval of Commission granting certain exemptive relief under
The Exchange proposes to make the 1940 Act. See Investment Company Act Release
Sub-Advisory Agreements would changes to the investments of the First No. 30029 (April 10, 2012) (File No. 812–13795).
impose unnecessary delays and Trust TCW Unconstrained Plus Bond 9 According to the Exchange, the Adviser and
expenses on the Subadvised Funds. ETF (‘‘Fund’’), the shares (‘‘Shares’’) of Sub-Adviser are not registered as broker-dealers.
Applicants believe that the requested which are currently listed and traded on The Adviser is affiliated with First Trust Portfolios
relief from the Disclosure Requirements L.P., a broker-dealer, and has implemented and will
the Exchange under NYSE Arca Rule maintain a fire wall with respect to its broker-dealer
meets this standard because it will 8.600–E, which governs the listing and affiliate regarding access to information concerning
improve the Adviser’s ability to trading of Managed Fund Shares on the the composition and/or changes to the portfolio.
negotiate fees paid to the Sub-Advisers Exchange. According to the Exchange, The Sub-Adviser is affiliated with multiple broker-
that are more advantageous for the dealers and has implemented and will maintain a
the Shares of the Fund commenced fire wall with respect to its broker-dealer affiliates
Subadvised Funds. trading on the Exchange on June 5, 2018 regarding access to information concerning the
For the Commission, by the Division of pursuant to the generic listing standards composition and/or changes to the portfolio. In the
Investment Management, under delegated event (a) the Adviser or the Sub-Adviser becomes
in Commentary .01 to NYSE Arca Rule registered as a broker-dealer or newly affiliated with
authority. 8.600–E. a broker-dealer, or (b) any new adviser or sub-
Eduardo A. Aleman, The Shares are offered by First Trust adviser is a registered broker-dealer or becomes
Assistant Secretary. Exchange-Traded Fund VIII (‘‘Trust’’), affiliated with a broker-dealer, it will implement
and maintain a fire wall with respect to relevant
[FR Doc. 2018–24077 Filed 11–2–18; 8:45 am] which is registered with the personnel and any broker-dealer affiliate regarding
BILLING CODE 8011–01–P Commission as an open-end access to information concerning the composition
and/or changes to the portfolio, and will be subject
1 15 U.S.C. 78s(b)(1). to procedures designed to prevent the use and
SECURITIES AND EXCHANGE 2 17 dissemination of material non-public information
CFR 240.19b–4.
regarding such portfolio.
COMMISSION 3 See Securities Exchange Act Release No. 83720
10 The term ‘‘normal market conditions’’ is
(July 26, 2018), 83 FR 37560 (‘‘Notice’’).
[Release No. 34–84504; File No. SR– 4 15 U.S.C. 78s(b)(2).
defined in NYSE Arca Rule 8.600–E(c)(5). On a
NYSEArca–2018–43] temporary basis, including for defensive purposes,
5 See Securities Exchange Act Release No. 84123
during the initial invest-up period (i.e., the six-week
(September 14, 2018), 83 FR 47654 (September 20, period following the commencement of trading of
Self-Regulatory Organizations; NYSE 2018). The Commission designated October 30, Shares on the Exchange) and during periods of high
Arca, Inc.; Order Instituting 2018, as the date by which it should approve, cash inflows or outflows (i.e., rolling periods of
Proceedings To Determine Whether To disapprove, or institute proceedings to determine seven calendar days during which inflows or
whether to disapprove the proposed rule change. outflows of cash, in the aggregate, exceed 10% of
Approve or Disapprove a Proposed 6 15 U.S.C. 78s(b)(2)(B).
the Fund’s net assets as of the opening of business
Rule Change Regarding Investments of 7 The Commission notes that additional on the first day of such periods), the Fund may
the First Trust TCW Unconstrained information regarding, among other things, the depart from its principal investment strategies; for
Plus Bond ETF Shares, Fund, investment objective, permitted example, it may hold a higher than normal
investments, investment strategies and proportion of its assets in cash. During such
October 30, 2018. methodology, investment restrictions, investment periods, the Fund may not be able to achieve its
On July 11, 2018, NYSE Arca, Inc. adviser and sub-adviser, creation and redemption investment objective. The Fund may adopt a
procedures, availability of information, trading defensive strategy when the Adviser and/or the
(‘‘NYSE Arca’’ or ‘‘Exchange’’) filed rules and halts, and surveillance procedures, can be Sub-Adviser believes securities in which the Fund
found in the Notice (see supra note 3) and the normally invests have elevated risks due to market,
invested in that Master Fund to disclose Aggregate Registration Statement (see infra note 8), as political or economic factors and in other
Fee Disclosure. applicable. extraordinary circumstances.
VerDate Sep<11>2014 18:38 Nov 02, 2018 Jkt 247001 PO 00000 Frm 00094 Fmt 4703 Sfmt 4703 E:\FR\FM\05NON1.SGM 05NON1](https://thefederalregister.org/doc/83_FR_55652/page/2.svg)
Document Created: 2018-11-03 00:28:43
Document Modified: 2018-11-03 00:28:43
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| Action | Notice. | |
| Dates | The application was filed on August 31, 2018. | |
| Contact | Rachel Loko, Senior Counsel, at (202) 551-6883, or Aaron Gilbride, Branch Chief, at (202) 551-6906 (Division of Investment Management, Chief Counsel's Office). | |
| FR Citation | 83 FR 55438 |
2025 Federal Register | Disclaimer | Privacy Policy
USC | CFR | eCFR