OMB control number
Rule 10f-3 (17 CFR 270.10f-3) under the Investment Company Act of 1940, Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
OMB 3235-0226 · SEC.
OMB 3235-0226
Rule 10f-3 permits, under certain conditions, a registered investment company ("fund") to purchase securities from underwriting syndicates whose members include affiliated persons of the purchasing fund. Records concerning transactions conducted in reliance on the rule and the fund board's review of those transactions must be maintained. This exemption is conditioned on the fund's advisory contract being amended to include certain clauses that prohibit, among other things, consultation between subadvisers that advise the transacting fund and other fund subadvisers.
The latest form for Rule 10f-3 (17 CFR 270.10f-3) under the Investment Company Act of 1940, Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate expires 2027-11-30 and is listed under ICR 202406-3235-009.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 89 FR 71673 (OMB 3235-0226).pdf | Supplementary Document |
| 89 FR 52528 (OMB 3235-0226).pdf | Supplementary Document |
| Supporting Statement_Rule 10f-3.pdf | Supporting Statement A |
 Rule 10f-3 (17 CFR 270.10f-3) under the Investment Company Act of 1940, Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate |
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