United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2013_register executive 2013-03-30 article Notices D09002ee1c7fbad83 D09002ee1c7fbae08 United States Securities and Exchange Commission originator org United States Government Agency or Subagency Summary of Application: Applicants request an order that permits: (a) Series of certain actively-managed open-end management investment companies to issue shares ("Shares") redeemable in large aggregations only ("Creation Units"); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. 78 FR 19542 https://www.govinfo.gov/app/details/FR-2013-04-01/2013-07415 2013-07415 fr01ap13-98 8011-01-P Investment Company Act Release No. 30436 File No. 812-13848 https://www.govinfo.gov/app/details/FR-2013-04-01/2013-07415 https://www.govinfo.gov/content/pkg/FR-2013-04-01/html/2013-07415.htm https://www.govinfo.gov/content/pkg/FR-2013-04-01/pdf/2013-07415.pdf 8 p. 19542 19549 78 FR 19542 Neuberger Berman ETF Trust and Neuberger Berman Management LLC; Notice of Application; Federal Register Vol. 78, Issue NOTICE 2013-07415 SECURITIES AND EXCHANGE COMMISSION Investment Company Act Release No. 30436 File No. 812-13848 8011-01-P 2013-07415 Notice of an application for an order under section 6(c) of the Investment Company Act of 1940 ("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, and under sections 6(c) and 17(b) of the Act for an exemption from sections 17(a)(1) and (2) of the Act, and under section 12(d)(1)(J) of the Act for an exemption from sections 12(d)(1)(A) and (B) of the Act.

Summary of Application: Applicants request an order that permits: (a) Series of certain actively-managed open-end management investment companies to issue shares ("Shares") redeemable in large aggregations only ("Creation Units"); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares.

Filing Dates: The application was filed on November 19, 2010, and amended on April 27, 2011, November 22, 2011, May 15, 2012, October 26, 2012 and March 18, 2013. Jean E. Minarick, Senior Counsel, at (202) 551-6811 or Daniele Marchesani, Branch Chief, at (202) 551-6821 (Division of Investment Management, Exemptive Applications Office). Applications: Neuberger Berman ETF Trust and Neuberger Berman Management LLC , http://www.sec.gov/search/search.htm Vol. 78, no. 62 Office of the Federal Register, National Archives and Records Administration 2013-04-01 continuing daily deposited born digital 201 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2013-04-01 P0b002ee183fb960e 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr01ap13 https://www.govinfo.gov/app/details/FR-2013-04-01 https://www.govinfo.gov/content/pkg/FR-2013-04-01/pdf/FR-2013-04-01.pdf https://www.govinfo.gov/content/pkg/FR-2013-04-01/xml/FR-2013-04-01.xml fdlp 19393 19583 DGPO 2013-03-30 2024-06-03 FR-2013-04-01 machine generated eng FR FR-2013-04-01 78 62