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 2014-02-22 article Notices D09002ee1c7fa66aa D09002ee1c7fa675e United States Securities and Exchange Commission originator org United States Government Agency or Subagency Summary of the Application: Applicants request an order that would 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, and registered unit investment trusts that are within or outside the same group of investment companies as the acquiring investment companies. Applicants: RiverNorth Funds (the "Trust"), RiverNorth Capital Management, LLC (the "Adviser"), and ALPS Distributors, Inc. (the "Distributor"). 79 FR 10211 https://www.govinfo.gov/app/details/FR-2014-02-24/2014-03796 2014-03796 fr24fe14-150 8011-01-P Investment Company Act Release No. 30919 812-14160 https://www.govinfo.gov/app/details/FR-2014-02-24/2014-03796 https://www.govinfo.gov/content/pkg/FR-2014-02-24/html/2014-03796.htm https://www.govinfo.gov/content/pkg/FR-2014-02-24/pdf/2014-03796.pdf 5 p. 10211 10215 79 FR 10211 RiverNorth Funds, et al.; Notice of Application; Federal Register Vol. 79, Issue NOTICE 2014-03796 SECURITIES AND EXCHANGE COMMISSION Investment Company Act Release No. 30919 812-14160 8011-01-P 2014-03796 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, and under sections 6(c) and 17(b) of the 1940 Act for an exemption from section 17(a) of the 1940 Act.

Summary of the Application: Applicants request an order that would 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, and registered unit investment trusts that are within or outside the same group of investment companies as the acquiring investment companies. Applicants: RiverNorth Funds (the "Trust"), RiverNorth Capital Management, LLC (the "Adviser"), and ALPS Distributors, Inc. (the "Distributor").

Filing Dates: The application was filed on May 29, 2013, and amended on October 8, 2013, and January 21, 2014. Laura J. Riegel, Senior Counsel, at (202) 551-6873, or David P. Bartels, Branch Chief, at (202) 551-6821 (Division of Investment Management, Chief Counsel's Office). Applications: RiverNorth Funds, et al. , http://www.sec.gov/search/search.htm Vol. 79, no. 36 Office of the Federal Register, National Archives and Records Administration 2014-02-24 continuing daily deposited born digital 358 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2014-02-24 P0b002ee18760d808 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr24fe14 https://www.govinfo.gov/app/details/FR-2014-02-24 https://www.govinfo.gov/content/pkg/FR-2014-02-24/pdf/FR-2014-02-24.pdf https://www.govinfo.gov/content/pkg/FR-2014-02-24/xml/FR-2014-02-24.xml fdlp 9981 10330 DGPO 2014-02-22 2024-06-03 FR-2014-02-24 machine generated eng FR FR-2014-02-24 79 36