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Search Exemptive Applications

January 21, 2011

Did you know that you can search Exemptive Applications on knowledgemosaic? These applications are filed on Form 40-APP under certain sections of the Investment Company Act of 1940.

  • Submission type 40-APP is used for submissions typically processed by the Division of Investment Management’s Office of Investment Company Regulation.
  • Submission type 40-6B is used for employees’ security company applications.
  • Submission type 40-OIP is used for submissions typically processed by the Division’s Office of Insurance Products.
  • Submission type 40-6C has been discontinued. Submissions previously submitted under this type are now submitted as type 40-APP or 40-OIP, as applicable.

Search for these form types on our SEC Filings page; or select our Investment Company Act of 1940 form group. Click on Securities Regulations on the CFR page of our Federal Fundamentals section to text search or read select sections of the 1940 Act.

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