OMB control number
Rule 12d1-4 Under the Investment Company Act of 1940, Fund of Funds Arrangements.
OMB 3235-0639 · SEC.
OMB 3235-0639
Rule 12d1-4 will permit certain registered funds and BDCs that satisfy certain conditions to acquire shares of another fund in excess of the limits of section 12(d)(1) of the Act without obtaining an exemptive order from the Commission.
The latest form for Rule 12d1-4 Under the Investment Company Act of 1940, Fund of Funds Arrangements. expires 2027-03-31 and is listed under ICR 202311-3235-010.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 3235-0639.pdf | Supplementary Document |
| 3235-0639.pdf | Supplementary Document |
| Rule 12d1-4 -Supporting Statement (final).pdf | Supporting Statement A |
 Investment Company Act Proposed Rule 12d1-4 |
Information collection |
All Historical Document Collections
| Reference | Filing | Received | Concluded | Action |
|---|---|---|---|---|
| 202311-3235-010 | Extension without change of a currently approved collection | 2024-01-22 | ||
| 202101-3235-012 | New collection (Request for a new OMB Control Number) | 2021-01-21 | Approved without change | |
| 202010-3235-020 | New collection (Request for a new OMB Control Number) | 2020-10-29 | ||
| 200803-3235-014 | New collection (Request for a new OMB Control Number) | 2008-03-18 | Comment filed on proposed rule |