Rule 17a-6 exemption for transactions with portfolio affiliates

OMB 3235-0564

OMB 3235-0564

Rule 17a-6 permits a registered investment company ("fund") and its portfolio affiliates to engage in principal transactions that would otherwise be prohibited. To rely on the exemptive relief, a fund's board of directors must determine whether certain parties to the transaction have material financial interests. The board's findings must be noted in the board minutes and maintained in accordance with established recordkeeping rules.

The latest form for Rule 17a-6 exemption for transactions with portfolio affiliates expires 2023-03-31 and can be found here.

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