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 2013-12-28 article Notices D09002ee1c7fa9cca D09002ee1c7fa9d4e United States Securities and Exchange Commission originator org United States Government Agency or Subagency Summary of the Application: Applicants request an order that would (a) permit certain registered open-end management investment companies that operate as "funds of funds" to acquire shares of certain registered open-end management investment companies, registered closed-end management investment companies, business development companies as defined by section 2(a)(48) of the 1940 Act ("business development companies"), and registered unit investment trusts that are within or outside the same group of investment companies as the acquiring investment companies and (b) permit certain registered open- end management investment companies relying on rule 12d1-2 under the 1940 Act to invest in certain financial instruments. Applicants: IndexIQ ETF Trust, IndexIQ Active ETF Trust (each, a "Trust," and collectively, the "Trusts"), IndexIQ Advisors LLC ("IndexIQ Advisors") and ALPS Distributors Inc. (the "Distributor"). 78 FR 79519 https://www.govinfo.gov/app/details/FR-2013-12-30/2013-31137 2013-31137 fr30de13-113 8011-01-P Investment Company Act Release No. 30844 812-14153 https://www.govinfo.gov/app/details/FR-2013-12-30/2013-31137 https://www.govinfo.gov/content/pkg/FR-2013-12-30/html/2013-31137.htm https://www.govinfo.gov/content/pkg/FR-2013-12-30/pdf/2013-31137.pdf 6 p. 79519 79524 78 FR 79519 IndexIQ ETF Trust, et al.; Notice of Application; Federal Register Vol. 78, Issue NOTICE 2013-31137 SECURITIES AND EXCHANGE COMMISSION Investment Company Act Release No. 30844 812-14153 8011-01-P 2013-31137 Notice of an application for an order under section 12(d)(1)(J) of the Investment Company Act of 1940 (the "1940 Act") for exemptions from sections 12(d)(1)(A), (B), and (C) of the 1940 Act, under sections 6(c) and 17(b) of the 1940 Act for an exemption from section 17(a) of the 1940 Act, and under section 6(c) of the 1940 Act for an exemption from rule 12d1-2(a) under the 1940 Act.

Summary of the Application: Applicants request an order that would (a) permit certain registered open-end management investment companies that operate as "funds of funds" to acquire shares of certain registered open-end management investment companies, registered closed-end management investment companies, business development companies as defined by section 2(a)(48) of the 1940 Act ("business development companies"), and registered unit investment trusts that are within or outside the same group of investment companies as the acquiring investment companies and (b) permit certain registered open- end management investment companies relying on rule 12d1-2 under the 1940 Act to invest in certain financial instruments. Applicants: IndexIQ ETF Trust, IndexIQ Active ETF Trust (each, a "Trust," and collectively, the "Trusts"), IndexIQ Advisors LLC ("IndexIQ Advisors") and ALPS Distributors Inc. (the "Distributor").

Filing Dates: The application was filed May 10, 2013, and amended on September 17, 2013, December 19, 2013 and December 23, 2013. Mark N. Zaruba, Senior Counsel, at (202) 551-6878, or Dalia O. Blass, Assistant Director, at (202) 551- 6821 (Division of Investment Management, Chief Counsel's Office). Applications: IndexIQ ETF Trust, et al. , http://www.sec.gov/search/search.htm Vol. 78, no. 250 Office of the Federal Register, National Archives and Records Administration 2013-12-30 continuing daily deposited born digital 294 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2013-12-30 P0b002ee186bede7f 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr30de13 https://www.govinfo.gov/app/details/FR-2013-12-30 https://www.govinfo.gov/content/pkg/FR-2013-12-30/pdf/FR-2013-12-30.pdf https://www.govinfo.gov/content/pkg/FR-2013-12-30/xml/FR-2013-12-30.xml fdlp 79283 79565 DGPO 2013-12-28 2024-06-03 FR-2013-12-30 machine generated eng FR FR-2013-12-30 78 250