Form APP NTC
| Field Name | Data Definition | Data Type | Original/Engineered |
|---|---|---|---|
| investment_company_act | The official sequential release number the SEC assigns to any notice or order under the Investment Company Act. | Text (String) | Original |
| company_name | The legal name(s) of the applicant(s) seeking exemptive relief. | Text (String) | Original |
| date | The date the notice is published or the release is issued by the SEC. | Date | Original |
| agency | The issuing federal agency — always “Securities and Exchange Commission.” Always named at the start of the notice. | Text (String) | Original |
| action | Short statement describing the type of document — here, “Notice of an application under section 6(c) of the Investment Company Act of 1940 (the “Act”)” | Text (String) | Original |
| application_summary | A short summary of what the applicants are requesting — e.g., the exemption sought and why. | Text (String) | Original |
| applicants | Names of all entities filing the application (may include funds, advisers, affiliates). | Text (String) | Original |
| filing_dates | Dates the application was initially filed and any amendments filed. | Text (String) | Original |
| hearing_notification_hearing | Describes the process by which the public may request a hearing, the deadline to request, the information required, and the SEC’s default action if no hearing is requested. | Text (String) | Original |
| addresses | Contact details for submitting hearing requests and service copies, including email or physical addresses for the SEC Secretary and the applicant’s counsel | Text (String) | Original |
| further_information_contact | Name, title, phone number, and division (typically Division of Investment Management) of the SEC staff attorney handling the application. | Text (String) | Original |
| supplementary_informaton | A concluding paragraph that tells the reader how to find the full filed application, legal analysis, conditions, or other representations. It may also include procedural statements and sign-off language by SEC staff under delegated authority. | Text (String) | Original |
| Field Name | Data Definition | Data Type | Original/Engineered |
|---|---|---|---|
| investment_company_act | The official sequential release number the SEC assigns to any notice or order under the Investment Company Act. | Text (String) | Original |
| company_name | The legal name(s) of the applicant(s) seeking exemptive relief. | Text (String) | Original |
| date | The date the notice is published or the release is issued by the SEC. | Date | Original |
| agency | The issuing federal agency — always “Securities and Exchange Commission.” Always named at the start of the notice. | Text (String) | Original |
| action | Short statement describing the type of document — here, “Notice of an application under section 6(c) of the Investment Company Act of 1940 (the “Act”)” | Text (String) | Original |
| application_summary | A short summary of what the applicants are requesting — e.g., the exemption sought and why. | Text (String) | Original |
| applicants | Names of all entities filing the application (may include funds, advisers, affiliates). | Text (String) | Original |
| filing_dates | Dates the application was initially filed and any amendments filed. | Text (String) | Original |
| hearing_notification_hearing | Describes the process by which the public may request a hearing, the deadline to request, the information required, and the SEC’s default action if no hearing is requested. | Text (String) | Original |
| addresses | Contact details for submitting hearing requests and service copies, including email or physical addresses for the SEC Secretary and the applicant’s counsel | Text (String) | Original |
| further_information_contact | Name, title, phone number, and division (typically Division of Investment Management) of the SEC staff attorney handling the application. | Text (String) | Original |
| supplementary_informaton | A concluding paragraph that tells the reader how to find the full filed application, legal analysis, conditions, or other representations. It may also include procedural statements and sign-off language by SEC staff under delegated authority. | Text (String) | Original |