Form 40-RPT Files Dataset

Form 40-RPT filings are periodic reports submitted to the SEC by registered investment companies pursuant to conditions imposed in exemptive orders issued under the Investment Company Act of 1940. The filings are used to satisfy ongoing reporting obligations attached to Commission orders granting relief from specified provisions of the Act or rules thereunder. The dataset includes all Form 40-RPT filings submitted to EDGAR from March 2004 to present. The filings were transmitted as auto-generated paper submissions referencing Investment Company Act application file numbers. 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 report required under the terms of the underlying exemptive order, standard issuer identification including CIK, company name, file number, and period of report, along with any supporting information mandated by the conditions of the exemptive relief granted by the Commission.

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