Form 40-APP Files Dataset

Form 40-APP filings contain applications for exemptive relief under the Investment Company Act of 1940. Filed pursuant to Rule 0-2 of the Commission's General Rules and Regulations, these applications seek orders under Section 6(c) or other provisions of the Act granting relief from specific statutory or regulatory requirements to investment companies and related entities. The dataset includes all Form 40-APP and Form 40-APP/A filings submitted to EDGAR from January 2002 to present. Form 40-APP/A filings represent amendments to previously submitted exemptive 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 applicants, the specific provisions from which relief is sought, a legal and factual basis for the exemption, proposed conditions under which the relief would operate, and certifications by authorized signatories.

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