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 2014_register executive 2014-01-22 article Notices D09002ee1c7fa8959 D09002ee1c7fa89d8 United States Securities and Exchange Commission originator org United States Government Agency or Subagency Summary of the Application: The requested order 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 and unit investment trusts ("UITs") that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on rule 12d1-2 under the Act to invest in certain financial instruments. Applicants: ALPS Series Trust ("Trust"), Brinker Capital, Inc. ("Fund of Funds Adviser"), and ALPS Distributors, Inc. (the "Distributor"). 79 FR 3633 https://www.govinfo.gov/app/details/FR-2014-01-22/2014-01135 2014-01135 fr22ja14-106 8011-01-P Investment Company Act Release No. 30858 File No. 812-14218 https://www.govinfo.gov/app/details/FR-2014-01-22/2014-01135 https://www.govinfo.gov/content/pkg/FR-2014-01-22/html/2014-01135.htm https://www.govinfo.gov/content/pkg/FR-2014-01-22/pdf/2014-01135.pdf 5 p. 3633 3637 79 FR 3633 ALPS Series Trust, et al.; Notice of Application; Federal Register Vol. 79, Issue NOTICE 2014-01135 SECURITIES AND EXCHANGE COMMISSION Investment Company Act Release No. 30858 File No. 812-14218 8011-01-P 2014-01135 Notice of an application for an order under section 12(d)(1)(J) of the Investment Company Act of 1940 (the "Act") for an exemption from sections 12(d)(1)(A) and (B) of the Act, 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 6(c) of the Act for an exemption from rule 12d1- 2(a) under the Act.

Summary of the Application: The requested order 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 and unit investment trusts ("UITs") that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on rule 12d1-2 under the Act to invest in certain financial instruments. Applicants: ALPS Series Trust ("Trust"), Brinker Capital, Inc. ("Fund of Funds Adviser"), and ALPS Distributors, Inc. (the "Distributor").

Filing Dates: The application was filed on September 27, 2013 and was amended on January 3, 2014. Jason M. Williams, Senior Counsel, at (202) 551-6817, or Daniele Marchesani, Branch Chief, at (202) 551-6817 (Division of Investment Management, Chief Counsel's Office). Applications: ALPS Series Trust, et al. , http://www.sec.gov/search/search.htm Vol. 79, no. 14 Office of the Federal Register, National Archives and Records Administration 2014-01-22 continuing daily deposited born digital 249 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2014-01-22 P0b002ee186e267ae 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr22ja14 https://www.govinfo.gov/app/details/FR-2014-01-22 https://www.govinfo.gov/content/pkg/FR-2014-01-22/pdf/FR-2014-01-22.pdf https://www.govinfo.gov/content/pkg/FR-2014-01-22/xml/FR-2014-01-22.xml fdlp 3481 3721 DGPO 2014-01-22 2024-06-03 FR-2014-01-22 machine generated eng FR FR-2014-01-22 79 14