Form 40-206A Files Dataset

Form 40-206A filings contain applications for exemptive relief submitted under Section 206A of the Investment Advisers Act of 1940. Section 206A authorizes the SEC to conditionally or unconditionally exempt any person or transaction from provisions of the Advisers Act or its rules, provided the exemption is necessary or appropriate in the public interest and consistent with the protection of investors. The dataset includes all Form 40-206A and Form 40-206A/A filings submitted to EDGAR from May 2002 to present. Form 40-206A/A filings represent amendments to previously filed applications. For each accession number, a metadata file and all documents in the original EDGAR submission are included except image files. Each filing typically contains the identity of the applicant, the specific provisions of the Advisers Act or rules from which relief is sought, the legal basis and factual grounds supporting the requested exemption, and any proposed conditions under which the exemption would apply.

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