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

OMB 3235-0764

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.


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