Rule 17a-10 Exemption for transactions with certain subadvisory affiliates

OMB 3235-0563

Rule 17a-10 permits a registered investment company's ("fund") subadviser to enter into transactions with certain affiliated funds. This exemption would be 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 17a-10 Exemption for transactions with certain subadvisory affiliates expires 2022-12-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0563.pdf Supplementary Document
3235-0563.pdf Supplementary Document
Rule 17a-10 (2022) Supporting Statement.pdf Supporting Statement A
Exemptions for transactions with certain sub-advisory affiliates

All Historical Document Collections

202206-3235-003 Approved without change	Extension without change of a currently approved collection	2022-08-16
201906-3235-006 Approved without change	Extension without change of a currently approved collection	2019-10-30
201611-3235-020 Approved without change	Extension without change of a currently approved collection	2017-02-28
201403-3235-008 Approved without change	Extension without change of a currently approved collection	2014-03-18
201103-3235-006 Approved without change	Extension without change of a currently approved collection	2011-03-10
200708-3235-037 Approved without change	Extension without change of a currently approved collection	2008-05-07
200506-3235-012 Approved without change	Extension without change of a currently approved collection	2005-06-09
200205-3235-005 Approved without change	New collection (Request for a new OMB Control Number)	2002-05-06