Form 40-205E Files Dataset

Form 40-205E filings are applications submitted by investment advisers seeking exemptive relief under Section 205(e) of the Investment Advisers Act of 1940 from the prohibition on performance-based compensation set forth in Section 205(a)(1). The form was used to request an order permitting advisory contracts providing for compensation based on a share of capital gains or capital appreciation of a client's account. The dataset includes all Form 40-205E and Form 40-205E/A filings retrieved from EDGAR from October 2003 until the last recorded filing in December 2005, after which the submission type ceased to receive filings. Form 40-205E/A filings represent amendments to previously submitted applications. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files; these filings were accepted as paper submissions and are represented on EDGAR by auto-generated records. Each filing typically contains the applicant adviser's identification and Investment Adviser file number, the specific exemptive relief requested under Section 205, representations supporting the application, and the factual and legal basis demonstrating that the advisory contract does not warrant the protections of the compensation prohibition.

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