6c-11 under the Investment Company Act of 1940 (17 CFR 270.6c-11), Exchange-Traded Funds

OMB 3235-0764

Rule 6c-11 under the Investment Company Act of 1940 permits ETFs that satisfy certain conditions to operate without first obtaining an exemptive order from the Commission. The rule is designed to create a consistent, transparent, and efficient regulatory framework for such ETFs and facilitate greater competition and innovation among ETFs.

The latest form for 6c-11 under the Investment Company Act of 1940 (17 CFR 270.6c-11), Exchange-Traded Funds expires 2023-02-28 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0764.pdf Supplementary Document
3235-0764.pdf Supplementary Document
Rule 6c-11 (2023) Supporting Statement.pdf Supporting Statement A
6c-11 under the Investment Company Act of 1940 (17 CFR 270.6c-11), Exchange-Traded Funds

All Historical Document Collections

202208-3235-030 Approved without change	Extension without change of a currently approved collection	2022-11-19
202101-3235-023 Approved without change	Revision of a currently approved collection	2021-02-19
202003-3235-003 Comment filed on proposed rule and continue	Revision of a currently approved collection	2020-03-02
201912-3235-001 Approved with change	New collection (Request for a new OMB Control Number)	2019-12-03
201807-3235-013 Comment filed on proposed rule	New collection (Request for a new OMB Control Number)	2019-02-07