Form 40-6C Files Dataset

Form 40-6C is an application for exemption and other relief filed under Section 6(c) of the Investment Company Act of 1940. Section 6(c) authorizes the SEC to conditionally or unconditionally exempt any person, security, or transaction from any provision of the Act or its rules, provided the exemption is in the public interest and consistent with the protection of investors. The dataset includes all Form 40-6C and Form 40-6C/A filings submitted to EDGAR from January 2002 to present. Form 40-6C/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 a description of the applicant, the specific statutory provisions from which exemption is sought, legal representations supporting the requested relief, proposed conditions, and any supporting exhibits.

Dataset APIs

Dataset Files