Notice2024-15944
Unified Series Trust and Efficient Capital Management, LLC
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
July 19, 2024
Issuing agencies
Securities and Exchange Commission
Full Text
<html>
<head>
<title>Federal Register, Volume 89 Issue 139 (Friday, July 19, 2024)</title>
</head>
<body><pre>
[Federal Register Volume 89, Number 139 (Friday, July 19, 2024)]
[Notices]
[Pages 58806-58807]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2024-15944]
=======================================================================
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Investment Company Act Release No. 35278; 812-15601]
Unified Series Trust and Efficient Capital Management, LLC
July 16, 2024.
AGENCY: Securities and Exchange Commission (``Commission'' or ``SEC'').
ACTION: Notice.
-----------------------------------------------------------------------
Notice of an application under section 6(c) of the Investment
Company Act of 1940 (``Act'') for an exemption from Section 15(a) of
the Act, as well as from certain disclosure requirements in Rule
[[Page 58807]]
20a-1 under the Act, Item 19(a)(3) of Form N-1A, Items 22(c)(1)(ii),
22(c)(1)(iii), 22(c)(8) and 22(c)(9) of Schedule 14A under the
Securities Exchange Act of 1934, and Sections 6-07(2)(a), (b), and (c)
of Regulation S-X (``Disclosure Requirements'').
Summary of Application: The requested exemption would permit Applicants
to enter into and materially amend subadvisory agreements with certain
subadvisors without shareholder approval and grant relief from the
Disclosure Requirements as they relate to fees paid to the subadvisors.
Applicants: Unified Series Trust and Efficient Capital Management, LLC.
Filing Dates: The application was filed on July 12, 2024.
Hearing or Notification of Hearing: An order granting the requested
relief will be issued unless the Commission orders a hearing.
Interested persons may request a hearing on any application by emailing
the SEC's Secretary at <a href="/cdn-cgi/l/email-protection#0556606677607164777c76284a63636c6660457660662b626a73"><span class="__cf_email__" data-cfemail="bcefd9dfced9c8ddcec5cf91f3dadad5dfd9fccfd9df92dbd3ca">[email protected]</span></a> and serving the
Applicants with a copy of the request by email, if an email address is
listed for the relevant Applicant below, or personally or by mail, if a
physical address is listed for the relevant Applicant below. Hearing
requests should be received by the Commission by 5:30 p.m. on August
12, 2024, and should be accompanied by proof of service on the
Applicants, in the form of an affidavit, or, for lawyers, a certificate
of service. Pursuant to rule 0-5 under the Act, hearing requests should
state the nature of the writer's interest, any facts bearing upon the
desirability of a hearing on the matter, the reason for the request,
and the issues contested. Persons who wish to be notified of a hearing
may request notification by emailing the Commission's Secretary.
ADDRESSES: The Commission: <a href="/cdn-cgi/l/email-protection#e9ba8c8a9b8c9d889b909ac4a68f8f808a8ca99a8c8ac78e869f"><span class="__cf_email__" data-cfemail="f0a3959382958491828983ddbf9696999395b0839593de979f86">[email protected]</span></a>. Applicants:
Elisabeth Dahl, Unified Series Trust, c/o Efficient Capital Management,
LLC, 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246 and
Cassandra W. Borchers, Esq., <a href="/cdn-cgi/l/email-protection#581b392b2b39363c2a39761a372a3b303d2a2b182c303735282b37363031363d763b3735"><span class="__cf_email__" data-cfemail="0d4e6c7e7e6c63697f6c234f627f6e65687f7e4d796562607d7e626365646368236e6260">[email protected]</span></a>.
FOR FURTHER INFORMATION CONTACT: Adam Lovell, Senior Counsel, or Terri
Jordan, Branch Chief, at (202) 551-6825 (Division of Investment
Management, Chief Counsel's Office).
SUPPLEMENTARY INFORMATION: For Applicants' representations, legal
analysis, and conditions, please refer to Applicants' application filed
July 12, 2024, which may be obtained via the Commission's website by
searching for the file number at the top of this document, or for an
Applicant using the Company name search field on the SEC's EDGAR
system. The SEC's EDGAR system may be searched at <a href="https://www.sec.gov/edgar/searchedgar/legacy/companysearch.html">https://www.sec.gov/edgar/searchedgar/legacy/companysearch.html</a>. You may also call the
SEC's Public Reference Room at (202) 551-8090.
For the Commission, by the Division of Investment Management,
under delegated authority.
J. Matthew DeLesDernier,
Deputy Secretary.
[FR Doc. 2024-15944 Filed 7-18-24; 8:45 am]
BILLING CODE 8011-01-P
</pre><script data-cfasync="false" src="/cdn-cgi/scripts/5c5dd728/cloudflare-static/email-decode.min.js"></script></body>
</html>Indexed from Federal Register on July 19, 2024.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.