Notice2026-05432
First Trust Portfolios L.P. and FTP Series
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
March 19, 2026
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 91 Issue 53 (Thursday, March 19, 2026)</title>
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[Federal Register Volume 91, Number 53 (Thursday, March 19, 2026)]
[Notices]
[Page 13354]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-05432]
[[Page 13354]]
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SECURITIES AND EXCHANGE COMMISSION
[Investment Company Act Release No. 36019; 812-15984]
First Trust Portfolios L.P. and FTP Series
March 17, 2026.
AGENCY: Securities and Exchange Commission (``Commission'').
ACTION: Notice.
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Notice of an application under (a) section 6(c) of the Investment
Company Act of 1940 (``Act'') for an exemption from sections 2(a)(32),
2(a)(35), 14(a), 19(b), 22(d) and 26(a)(2)(C) of the Act and rules 19b-
1 and rule 22c-1 thereunder and (b) sections 11(a) and 11(c) of the Act
for approval of certain exchange and rollover privileges.
Summary of Application: Applicants request an order to permit certain
unit investment trusts (``UIT'') to: (a) impose sales charges on a
deferred basis and waive the deferred sales charge in certain cases;
(b) offer unitholders certain exchange and rollover options; (c)
publicly offer units without requiring the Depositor to take for its
own account $100,000 worth of units; and (d) distribute capital gains
resulting from the sale of portfolio securities within a reasonable
time after receipt.
Applicants: First Trust Portfolios L.P. (``First Trust'') and FTP
Series.
Filing Dates: The application was filed on February 6, 2026.
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#71221412031405100308025c3e1717181214310214125f161e07"><span class="__cf_email__" data-cfemail="095a6c6a7b6c7d687b707a24466f6f606a6c497a6c6a276e667f">[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. The email
should include the file number referenced above. Hearing requests
should be received by the Commission by 5:30 p.m., Eastern Time, on
April 10, 2026, 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 at
<a href="/cdn-cgi/l/email-protection#acffc9cfdec9d8cdded5df81e3cacac5cfc9ecdfc9cf82cbc3da"><span class="__cf_email__" data-cfemail="a5f6c0c6d7c0d1c4d7dcd688eac3c3ccc6c0e5d6c0c68bc2cad3">[email protected]</span></a>.
ADDRESSES: The Commission: <a href="/cdn-cgi/l/email-protection#683b0d0b1a0d1c091a111b45270e0e010b0d281b0d0b460f071e"><span class="__cf_email__" data-cfemail="d88bbdbbaabdacb9aaa1abf597bebeb1bbbd98abbdbbf6bfb7ae">[email protected]</span></a>. Applicants: W.
Scott Jardine, First Trust Portfolios L.P. and FTP Series, 120 East
Liberty Drive, Suite 400, Wheaton, Illinois 60187; Felice Foundos,
Brian D. Free, and Daniel J. Fallon, Chapman and Cutler LLP, 320 South
Canal Street, Chicago, IL 60606.
FOR FURTHER INFORMATION CONTACT: Jacob Krawitz, Senior Special Counsel,
or Kaitlin C. Bottock, Assistant Director, 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,
dated February 6, 2026, 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/search/">https://www.sec.gov/edgar/search/</a>. You may also call the SEC's Office of
Investor Education and Advocacy at (202) 551-8090.
For the Commission, by the Division of Investment Management,
under delegated authority.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026-05432 Filed 3-18-26; 8:45 am]
BILLING CODE 8011-01-P
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