The Company will enter into a distribution agreement The Commission as an investment adviser under Section 203 of the Advisers Act. Any Sub-Adviser to a Fund will be registered with To act as sub-advisers with respect to Fund (“ Sub-Advisers”). The Adviser may enter into sub-advisory agreements with other investment advisers The Adviser will serve as investment adviser to the Fund. Subject to approval by the Fund’s board of directors, To offer Funds that utilize the NYSE Proxy Portfolio Methodology as described in the Reference Order. The Adviser has entered into a licensing agreement with NYSE Group, Inc. Other Adviser will be, registered as an “investment adviser” under section 203 of the Investment Advisers Act of 1940, asĪmended (the “ Advisers Act”). The Adviser is a Utah limited liability company with its principal place of business in Bountiful, Utah. The Adviser will be the investment adviser to the Initialįund. The Company is registered with the Commission as an open-end management State of Maryland and will include certain series operating as a Fund. The Company was incorporated under the laws of the No form having been specifically prescribed for thisĪpplication, Applicants proceed under rule 0-2 under the Act. Management investment company or series thereof that (a) is advised by the Adviser or any entity controlling, controlled by, or underĬommon control with the Adviser (any such entity included in the term “Adviser”), (b) offers exchange traded shares utilizingĪctive management investment strategies as contemplated by the Reference Order and (c) complies with the terms and conditions of the OrderĪnd the terms and conditions of the Reference Order that are incorporated by reference herein (each such company or series and any Initial Of the Company listed in Appendix A (the “ Initial Fund”) and to any other existing or future registered open-end 1Īpplicants request that the relief apply to the series Which terms and conditions are hereby incorporated by reference into this Order. Securities and Exchange Commission (“ Commission”), Time to time (the “ Reference Order”), issued by the U.S. (collectively, the “ Applicants”) apply for and request an order under section 6(c) of the Investment CompanyĪct of 1940, as amended (the “Act”), for an exemption from Sections 2(a)(32), 5(a)(1), 22(d) and 22(e) of the Act and RuleĢ2c-1 under the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and 17(a)(2) of the Act (the “ Order”).Įxcept as noted herein, the Order would be subject to the same terms and conditions contained in a previous order, as may be amended from Summit Global Investments, LLC (“ Adviser”) and Quasar Distributors, LLC (“ Distributor”) UNITED STATES SECURITIES AND EXCHANGE COMMISSIONĪpplication for an Order under Section 6(c) of the Investment Company Act of 1940 (the “ Act”) for an exemption from Sections 2(a)(32), 5(a)(1), 22(d) and 22(e) of the Act and Rule 22c-1 under the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and 17(a)(2) of the Act.
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