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This document is a public notice regarding an application submitted to the Securities and Exchange Commission by Altegris Advisors and Northern Lights Fund Trust seeking an exemption from certain

How to fill out notice of application under

How to fill out Notice of Application Under the Investment Company Act

1. Obtain the Notice of Application form from the appropriate regulatory agency or organization.
2. Review the instructions provided with the form to understand the specific requirements.
3. Fill in the applicant's information, including name, address, and contact details.
4. Clearly state the purpose of the application and the specific provisions of the Investment Company Act being referenced.
5. Provide detailed information about the investment company, such as its structure, the types of securities it offers, and the investment strategies employed.
6. Include any supporting documents or exhibits that back up the application, such as financial statements or management agreements.
7. Sign and date the application where required.
8. Submit the completed Notice of Application to the relevant regulatory body, ensuring to follow any submission guidelines.

Who needs Notice of Application Under the Investment Company Act?

1. Investment companies seeking to obtain exemptions or approvals under the Investment Company Act.
2. Investment advisers and managers looking to register their funds.
3. Companies planning to offer securities that may be subject to the Investment Company Act.

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What is the 40 Investment Company Act?

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The Investment Company Act of 1940 is an act of Congress that regulates the formation of investment companies and their activities. The legislation in the Investment Company Act of 1940 is enforced and regulated by the Securities and Exchange Commission (SEC).

Who does Investment Company Act apply to?

The Investment Company Act applies to all investment companies, but exempts several types of investment companies from the act's coverage. The most common exemptions are found in Sections 3(c)(1) and 3(c)(7) of the act and include hedge funds.

What is a 40 Act REIT?

The combination of the type of SEC registration and the type of tax status provides 1940 Act REIT investors with similar benefits to traditional 1940 Act RIC funds — such as avoiding federal income tax at the fund level, blocking unrelated business taxable income, blocking state exposure, simplicity of reporting and

For pdfFiller’s FAQs

What is Notice of Application Under the Investment Company Act?

The Notice of Application Under the Investment Company Act is a formal document that entities must file to seek permission from the Securities and Exchange Commission (SEC) for specific exemptions or approvals required under the Investment Company Act of 1940.

Who is required to file Notice of Application Under the Investment Company Act?

Entities that are seeking to operate as investment companies or those needing specific exemptions from the SEC are required to file a Notice of Application Under the Investment Company Act.

How to fill out Notice of Application Under the Investment Company Act?

To fill out the Notice of Application, applicants must complete the specified forms provided by the SEC, ensuring that all required information, such as details about the applicant, the relief sought, and supporting documentation, is accurately provided.

What is the purpose of Notice of Application Under the Investment Company Act?

The purpose of the Notice of Application Under the Investment Company Act is to inform the SEC and the public about the application for relief, enabling transparency and allowing for public input before the SEC makes a decision.

What information must be reported on Notice of Application Under the Investment Company Act?

The information that must be reported includes the name and contact information of the applicant, details of the requested exemption or approval, the reasons for the application, and any relevant financial or operational information necessary for the SEC's review.