Notice2026-08570
Multi-Class ETF Fund Exemptive Relief Under the Investment Company Act of 1940
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
May 4, 2026
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 91 Issue 85 (Monday, May 4, 2026)</title>
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[Federal Register Volume 91, Number 85 (Monday, May 4, 2026)]
[Notices]
[Pages 24025-24028]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-08570]
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SECURITIES AND EXCHANGE COMMISSION
[Investment Company Act Release No. 36136]
Multi-Class ETF Fund Exemptive Relief Under the Investment
Company Act of 1940
April 29, 2026.
AGENCY: Securities and Exchange Commission (``Commission'' or ``SEC'').
ACTION: Notice.
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Notice of applications under section 6(c) of the Investment Company
Act of 1940 (``Act''), each for an exemption from sections 2(a)(32),
5(a)(1), 18(f)(1), 18(i), 22(d) and 22(e) of the Act and rule 22c-1
under the Act and under sections 6(c) and 17(b) of the Act for an
exemption from sections 17(a)(1) and 17(a)(2) of the Act.
SUMMARY OF APPLICATION: In each case, the Applicants listed in the
relevant paragraph below request an order (``Order'') that would permit
a registered open-end management investment company to offer one class
of exchange-traded shares that operates as an exchange-traded fund (an
``ETF Class,'' and such shares, ``ETF Shares'') and one or more classes
of shares that are not exchange-traded (each such class, a
[[Page 24026]]
``Mutual Fund Class,'' and such shares, ``Mutual Fund Shares,'' and
each such fund, a ``Multi-Class ETF Fund''). Each Order would provide
Multi-Class ETF Funds with two broad categories of relief: (i) the
relief necessary to permit standard exchange-traded fund (``ETF'')
operations consistent with Rule 6c-11 under the Act (``ETF Operational
Relief'') and (ii) the relief necessary for a fund to offer an ETF
Class and one or more Mutual Fund Classes (``ETF Class Relief'').
HEARING OR NOTIFICATION OF HEARING: An order granting the relevant
application referenced below will be issued unless the SEC orders a
hearing on that application. Interested persons may request a hearing
on any application by emailing the SEC's Secretary at <a href="/cdn-cgi/l/email-protection#ebb88e88998e9f8a999298c6a48d8d82888eab988e88c58c849d"><span class="__cf_email__" data-cfemail="2d7e484e5f48594c5f545e00624b4b444e486d5e484e034a425b">[email protected]</span></a> and serving the relevant applicant 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 below. Hearing requests should be received by
the SEC by 5:30 p.m., Eastern time, on May 26, 2026, and should be
accompanied by proof of service on 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 writing to the Commission's Secretary at <a href="/cdn-cgi/l/email-protection#4615232534233227343f356b0920202f25230635232568212930"><span class="__cf_email__" data-cfemail="4615232534233227343f356b0920202f25230635232568212930">[email protected]</span></a>.
ADDRESSES: The Commission: <a href="/cdn-cgi/l/email-protection#d182b4b2a3b4a5b0a3a8a2fc9eb7b7b8b2b491a2b4b2ffb6bea7"><span class="__cf_email__" data-cfemail="b1e2d4d2c3d4c5d0c3c8c29cfed7d7d8d2d4f1c2d4d29fd6dec7">[email protected]</span></a>.
FOR FURTHER INFORMATION CONTACT: The relevant person listed under each
application below, 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,
which may be obtained via the Commission's website by searching for the
applicable file number listed below, 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/search-filings">https://www.sec.gov/search-filings</a>. You may
also call the SEC's Office of Investor Education and Assistance at
(202) 551-8090.
Artisan Partners Funds, Inc., et al. [File No. 812-15995]
Applicants: Artisan Partners Funds, Inc. and Artisan Partners
Limited Partnership.
Filing Date: The application was filed on February 20, 2026 and
amended on April 23, 2026.
Addresses: Laura E. Simpson, Artisan Partners Funds, Inc., 875 East
Wisconsin Avenue, Suite 800, Milwaukee, Wisconsin 53202,
<a href="/cdn-cgi/l/email-protection#c2aea3b7b0aba7ecb1abafb2b1adac82a3b0b6abb1a3acb2a3b0b6aca7b0b1eca1adaf"><span class="__cf_email__" data-cfemail="3a565b4f48535f144953574a4955547a5b484e53495b544a5b484e545f484914595557">[email protected]</span></a>; Brian D. McCabe, Esq. and Jimena A.
Smith, Esq., Ropes & Gray LLP, <a href="/cdn-cgi/l/email-protection#f8ba8a919996d6b59bbb999a9db88a97889d8b9f8a9981d69b9795"><span class="__cf_email__" data-cfemail="2f6d5d464e4101624c6c4e4d4a6f5d405f4a5c485d4e56014c4042">[email protected]</span></a> and
<a href="/cdn-cgi/l/email-protection#672d0e0a02090649340a0e130f2715081702140015061e4904080a"><span class="__cf_email__" data-cfemail="ce84a7a3aba0afe09da3a7baa68ebca1beabbda9bcafb7e0ada1a3">[email protected]</span></a>.
For Further Information Contact: Asaf Barouk, Senior Counsel, or
Kaitlin C. Bottock, Assistant Chief Counsel.
Bondbloxx ETF Trust, et al. [File No. 812-15665]
Applicants: BondBloxx ETF Trust and BondBloxx Investment Management
Corporation.
Filing Dates: The application was filed on December 4, 2024 and
amended on January 27, 2026.
Addresses: Joanna Gallegos, BondBloxx Investment Management
Corporation, 700 Larkspur Landing Circle, Suite 250, Larkspur, CA
94939, <a href="/cdn-cgi/l/email-protection#036a6d656c43416c6d67416f6c7b7b4657452d606c6e"><span class="__cf_email__" data-cfemail="325b5c545d72705d5c56705e5d4a4a7766741c515d5f">[email protected]</span></a>; Edward Baer, Ropes & Gray LLP, Three
Embarcadero Center, San Francisco, CA 94111, <a href="/cdn-cgi/l/email-protection#ade8c9daccdfc983efccc8dfeddfc2ddc8decadfccd483cec2c0"><span class="__cf_email__" data-cfemail="b9fcddced8cbdd97fbd8dccbf9cbd6c9dccadecbd8c097dad6d4">[email protected]</span></a>.
For Further Information Contact: Kris Easter Guidroz, Senior
Counsel, Trace W. Rakestraw, Senior Special Counsel, or Kaitlin C.
Bottock, Assistant Chief Counsel.
Brinker Capital Destinations Trust, et al. [File No. 812-15943]
Applicants: Brinker Capital Destinations Trust and Orion Portfolio
Solutions, LLC.
Filing Date: The application was filed on November 19, 2025.
Addresses: Brian Ferko, Brinker Capital Destinations Trust, 1055
Westlakes Drive, Suite 250, Berwyn, PA 19312, <a href="/cdn-cgi/l/email-protection#cba9b9a2aaa5e5adaeb9a0a48ba4b9a2a4a5e5a8a4a6"><span class="__cf_email__" data-cfemail="c5a7b7aca4abeba3a0b7aeaa85aab7acaaabeba6aaa8">[email protected]</span></a>;
John J. O'Brien, Esq. and Lauren A. Engel, Esq. Morgan, Lewis & Bockius
LLP, <a href="/cdn-cgi/l/email-protection#6d0702050343020f1f0408032d00021f0a0c0301081a041e430e0200"><span class="__cf_email__" data-cfemail="12787d7a7c3c7d70607b777c527f7d6075737c7e77657b613c717d7f">[email protected]</span></a> and <a href="/cdn-cgi/l/email-protection#9ff3feeaedfaf1b1faf1f8faf3dff2f0edf8fef1f3fae8f6ecb1fcf0f2"><span class="__cf_email__" data-cfemail="e884899d9a8d86c68d868f8d84a885879a8f8986848d9f819bc68b8785">[email protected]</span></a>.
For Further Information Contact: Asaf Barouk, Senior Counsel, or
Kaitlin C. Bottock, Assistant Chief Counsel.
First Eagle Funds, et al. [File No. 812-15683]
Applicants: First Eagle Funds, First Eagle ETF Trust, The RBB Fund
Trust, and First Eagle Investment Management, LLC.
Filing Dates: The application was filed on December 31, 2024 and
amended on November 14, 2025 and April 24, 2025.
Addresses: Sheelyn Michael, First Eagle Funds, 1345 Avenue of the
Americas, New York, NY 10105; George Raine, Esq., Ropes & Gray LLP,
Prudential Tower, 800 Boylston Street, Boston, Massachusetts 02199.
For Further Information Contact: Kris Easter Guidroz, Senior
Counsel, or or Kaitlin C. Bottock, Assistant Chief Counsel.
FMI Funds, Inc., et al. [File No. 812-15891]
Applicants: FMI Funds, Inc. and Fiduciary Management, Inc.
Filing Date: The application was filed on September 4, 2025 and
amended on December 22, 2025.
Addresses: John S. Brandser, Fiduciary Management, Inc., 790 North
Water Street, Suite 2100, Milwaukee, Wisconsin 53202,
<a href="/cdn-cgi/l/email-protection#7c161e0e1d12180f190e3c1a1115111b08521f1311"><span class="__cf_email__" data-cfemail="573d352536393324322517313a3e3a30237934383a">[email protected]</span></a>; Peter D. Fetzer, Foley & Lardner LLP,
<a href="/cdn-cgi/l/email-protection#4c3c2a293836293e0c2a23202935622f2321"><span class="__cf_email__" data-cfemail="deaeb8bbaaa4bbac9eb8b1b2bba7f0bdb1b3">[email protected]</span></a>.
For Further Information Contact: Asaf Barouk, Senior Counsel, or
Kaitlin C. Bottock, Assistant Chief Counsel.
Investment Managers Series Trust, et al. [File No. 812-15691]
Applicants: Investment Managers Series Trust and Advisors Asset
Management, Inc.
Filing Date: The application was filed on January 15, 2025 and
amended on May 2, 2025, June 26, 2025 and January 23, 2026.
Addresses: Diane Drake, Esq., Secretary, Investment Managers Series
Trust, <a href="/cdn-cgi/l/email-protection#ec88858d8289c2889e8d8789ac818a8d8fc1d08dcc849e898ad1" http: ca.com">ca.com</a>">diane.drake@mfac-<a href="http://ca.com">ca.com</a></a>; Debra Fisherman, CFA and Giacomo
Guardavaccaro, Advisors Asset Management, Inc.,
<a href="/cdn-cgi/l/email-protection#abcfcec9d9ca85cdc2d8c3ced9c6cac5ebcacac6c7c2ddce85c8c4c6"><span class="__cf_email__" data-cfemail="7b1f1e19091a551d1208131e09161a153b1a1a1617120d1e55181416">[email protected]</span></a> and <a href="/cdn-cgi/l/email-protection#ec8b858d8f838183c28b998d9e888d9a8d8f8f8d9e83ac8d8d8180859a89c28f8381"><span class="__cf_email__" data-cfemail="04636d65676b696b2a6371657660657265676765766b44656569686d72612a676b69">[email protected]</span></a>; and
Laurie A. Dee, Morgan, Lewis & Bockius LLP, <a href="/cdn-cgi/l/email-protection#8ce0edf9fee5e9a2e8e9e9cce1e3feebede2e0e9fbe5ffa2efe3e1"><span class="__cf_email__" data-cfemail="600c01151209054e040505200d0f1207010e0c051709134e030f0d">[email protected]</span></a>.
For Further Information Contact: Laura L. Solomon, Senior Counsel,
or Kaitlin C. Bottock, Assistant Chief Counsel.
Janus Investment Fund, et al. [File No. 812-15607]
Applicants: Janus Investment Fund and Janus Henderson Investors US
LLC
Filing Date: The application was filed on July 31, 2024 and amended
on November 25, 2025.
Addresses: Stephanie Grauerholz, Janus Henderson Investors, 151
Detroit Street, Denver, CO 80206; Matthew R. DiClemente, Esq. and
Michael W. Mundt, Esq., Stradley Ronon Stevens &
[[Page 24027]]
Young, LLP, <a href="/cdn-cgi/l/email-protection#7c1118151f101911191208193c0f080e1d18101905521f1311"><span class="__cf_email__" data-cfemail="f39e979a909f969e969d8796b380878192979f968add909c9e">[email protected]</span></a> and <a href="/cdn-cgi/l/email-protection#bad7d7cfd4decefac9cec8dbded6dfc394d9d5d7"><span class="__cf_email__" data-cfemail="83eeeef6ede7f7c3f0f7f1e2e7efe6faade0ecee">[email protected]</span></a>.
For Further Information Contact: Asaf Barouk, Senior Counsel, or
Trace W. Rakestraw, Senior Special Counsel.
Managed Portfolio Series, et al. [File No. 812-15967]
Applicants: Managed Portfolio Series and Kensington Asset
Management, LLC.
Filing Date: The application was filed on January 7, 2026 and
amended on April 23, 2026.
Addresses: William Bower, Kensington Asset Management, LLC, 901 S
Mopac Expressway, Building II Suite 225, Austin, TX 78746; and
Christopher D. Menconi, Morgan, Lewis & Bockius LLP,
<a href="/cdn-cgi/l/email-protection#f4979c869d87809b849c9186da99919a979b9a9db4999b8693959a9891839d87da979b99"><span class="__cf_email__" data-cfemail="43202b312a30372c332b26316d2e262d202c2d2a032e2c3124222d2f26342a306d202c2e">[email protected]</span></a>.
For Further Information Contact: Laura L. Solomon, Senior Counsel,
Trace W. Rakestraw, Senior Special Counsel, or Kaitlin C. Bottock,
Assistant Chief Counsel.
Managed Portfolio Series, et al. [File No. 812-16000]
Applicants: Managed Portfolio Series and Leuthold Group, LLC dba
Leuthold Weeden Capital Management.
Filing Dates: The application was filed on March 3, 2026 and
amended on April 24, 2026.
Addresses: Jason M. Venner, Secretary, Managed Portfolio Series,
615 East Michigan Street, Milwaukee, Wisconsin 53202,
<a href="/cdn-cgi/l/email-protection#5a303b293534742c3f34343f281a2f29383b343174393537"><span class="__cf_email__" data-cfemail="5a303b293534742c3f34343f281a2f29383b343174393537">[email protected]</span></a>; Glenn R. Larson, Leuthold Group, LLC dba
Leuthold Weeden Capital Management, 150 South Fifth Street, Suite 1700,
Minneapolis, MN 55402, <a href="/cdn-cgi/l/email-protection#22454e4350514d4c624e55414f0c414d4f"><span class="__cf_email__" data-cfemail="caada6abb8b9a5a48aa6bda9a7e4a9a5a7">[email protected]</span></a>; Christopher D. Menconi,
Morgan, Lewis & Bockius LLP, <a href="/cdn-cgi/l/email-protection#81e2e9f3e8f2f5eef1e9e4f3afece4efe2eeefe8c1eceef3e6e0efede4f6e8f2afe2eeec"><span class="__cf_email__" data-cfemail="315259435842455e415954431f5c545f525e5f58715c5e4356505f5d544658421f525e5c">[email protected]</span></a>.
For Further Information Contact: Kris Easter Guidroz, Senior
Counsel, Trace W. Rakestraw, Senior Special Counsel, or Kaitlin C.
Bottock, Assistant Chief Counsel.
Manning & Napier Fund, Inc., et al. [File No. 812-15999]
Applicants: Manning & Napier Fund, Inc. and Manning & Napier
Advisors, LLC.
Filing Dates: The application was filed on March 2, 2026.
Addresses: Paul J. Battaglia c/o Manning & Napier Fund, Inc.,
<a href="/cdn-cgi/l/email-protection#a7d7c5c6d3d3c6c0cbcec6e7cac6c9c9cec9c08a9bc687cfd5c2c19a" http: napier.com">napier.com</a>">pbattaglia@manning-<a href="http://napier.com">napier.com</a></a>; Sean Graber and Timothy W. Levin,
Morgan, Lewis & Bockius LLP, <a href="/cdn-cgi/l/email-protection#4b382e2a25652c392a292e390b2624392c2a25272e3c223865282426"><span class="__cf_email__" data-cfemail="d3a0b6b2bdfdb4a1b2b1b6a193bebca1b4b2bdbfb6a4baa0fdb0bcbe">[email protected]</span></a> and
<a href="/cdn-cgi/l/email-protection#7f0b1612100b170651131a0916113f12100d181e11131a08160c511c1012"><span class="__cf_email__" data-cfemail="394d5054564d514017555c4f50577954564b5e5857555c4e504a175a5654">[email protected]</span></a>.
For Further Information Contact: Deepak T. Pai, Senior Counsel, or
Kaitlin C. Bottock, Assistant Chief Counsel.
The Payden & Rygel Investment Group, et al. [File No. 812-15892]
Applicants: The Payden & Rygel Investment Group and Payden and
Rygel.
Filing Dates: The application was filed on September 4, 2025 and
amended on November 25, 2025.
Addresses: Reza Pishva, 333 South Grand Avenue, 40th Floor, Los
Angeles, California 90071, <a href="/cdn-cgi/l/email-protection#9defedf4eef5ebfcddedfce4f9f8f3b3fef2f0"><span class="__cf_email__" data-cfemail="71030118021907103101100815141f5f121e1c">[email protected]</span></a>; Arthur L. Zwickel, Esq.,
Paul Hastings LLP, 515 S. Flower St., Los Angeles, California 90071.
For Further Information Contact: Asaf Barouk, Senior Counsel, or
Kaitlin C. Bottock, Assistant Chief Counsel.
PRIMECAP Odyssey Funds, et al. [File No. 812-16015]
Applicants: PRIMECAP Odyssey Funds and PRIMECAP Management Company.
Filing Date: The application was filed on April 8, 2026.
Addresses: Michael J. Ricks, Secretary, PRIMECAP Odyssey Funds,
<a href="/cdn-cgi/l/email-protection#5f322d363c342c1f2f2d36323a3c3e2f713c3032"><span class="__cf_email__" data-cfemail="dfb2adb6bcb4ac9fafadb6b2babcbeaff1bcb0b2">[email protected]</span></a>; and Laurie A. Dee, Morgan, Lewis & Bockius LLP,
<a href="/cdn-cgi/l/email-protection#80ece1f5f2e9e5aee4e5e5c0edeff2e7e1eeece5f7e9f3aee3efed"><span class="__cf_email__" data-cfemail="1975786c6b707c377d7c7c5974766b7e7877757c6e706a377a7674">[email protected]</span></a>.
For Further Information Contact: Laura L. Solomon, Senior Counsel,
or Kaitlin C. Bottock, Assistant Chief Counsel.
ProShares Trust, et al. [File No. 812-15942]
Applicants: ProShares Trust, ProFunds, Access One Trust, ProShare
Advisors LLC, and ProFund Advisors LLC.
Filing Date: The application was filed on November 18, 2025.
Addresses: Richard Morris, General Counsel, ProShare Advisors LLC,
7272 Wisconsin Avenue, 21st Floor, Bethesda, MD 20814,
<a href="/cdn-cgi/l/email-protection#20524d4f525249536050524f5348415245530e434f4d"><span class="__cf_email__" data-cfemail="71031c1e030318023101031e0219100314025f121e1c">[email protected]</span></a>; Allison M. Fumai, Esq., Mark D. Perlow, Esq.,
and Adam T. Teufel, Esq., Dechert LLP, <a href="/cdn-cgi/l/email-protection#442528282d372b2a6a223129252d042021272c2136306a272b29"><span class="__cf_email__" data-cfemail="27464b4b4e5448490941524a464e674342444f4255530944484a">[email protected]</span></a>,
<a href="/cdn-cgi/l/email-protection#127f7360793c6277607e7d65527677717a7760663c717d7f"><span class="__cf_email__" data-cfemail="234e4251480d5346514f4c54634746404b4651570d404c4e">[email protected]</span></a> and <a href="/cdn-cgi/l/email-protection#5c3d383d31722839293a39301c38393f34392e28723f3331"><span class="__cf_email__" data-cfemail="b8d9dcd9d596ccddcddeddd4f8dcdddbd0ddcacc96dbd7d5">[email protected]</span></a>.
For Further Information Contact: Asaf Barouk, Senior Counsel, or
Kaitlin C. Bottock, Assistant Chief Counsel.
RBC Funds Trust, et al. [File No. 812-15971]
Applicants: RBC Funds Trust and RBC Global Asset Management (U.S.)
Inc.
Filing Date: The application was filed on January 9, 2026.
Addresses: Tara Tilbury, RBC Global Asset Management (U.S.) Inc.,
250 Nicollet Mall, Suite 1550, Minneapolis, MN 55401,
<a href="/cdn-cgi/l/email-protection#e692879487c8928f8a8493949fa6948485c885898b"><span class="__cf_email__" data-cfemail="285c495a49065c41444a5d5a51685a4a4b064b4745">[email protected]</span></a>; Stephen T. Cohen, Esq. and Adam T. Teufel, Esq.,
Dechert LLP, <a href="/cdn-cgi/l/email-protection#ee9d9a8b9e868b80c08d81868b80ae8a8b8d868b9c9ac08d8183"><span class="__cf_email__" data-cfemail="fd8e89988d959893d39e92959893bd99989e95988f89d39e9290">[email protected]</span></a> and <a href="/cdn-cgi/l/email-protection#14757075793a607161727178547071777c7166603a777b79"><span class="__cf_email__" data-cfemail="6d0c090c00431908180b08012d09080e05081f19430e0200">[email protected]</span></a>.
For Further Information Contact: Asaf Barouk, Senior Counsel, or
Kaitlin C. Bottock, Assistant Chief Counsel.
Tortoise Capital Series Trust, et al. [File No. 812-15817]
Applicants: Tortoise Capital Series Trust and Tortoise Capital
Advisors, L.L.C.
Filing Dates: The application was filed on May 28, 2025 and amended
on November 19, 2025.
Addresses: Tom Florence and Jeffrey S. Kruske, Tortoise Capital
Advisors, L.L.C. and Tortoise Capital Series Trust, 5901 College
Boulevard, Suite 400, Overland Park, Kansas 66211; Deborah Bielicke
Eades and Nathaniel Segal, Vedder Price P.C., <a href="/cdn-cgi/l/email-protection#cfabaaaeabaabc8fb9aaababaabdbfbda6acaae1aca0a2"><span class="__cf_email__" data-cfemail="f7939296939284b781929393928587859e9492d994989a">[email protected]</span></a>
and <a href="/cdn-cgi/l/email-protection#4f213c2a282e230f392a2b2b2a3d3f3d262c2a612c2022"><span class="__cf_email__" data-cfemail="0f617c6a686e634f796a6b6b6a7d7f7d666c6a216c6062">[email protected]</span></a>.
For Further Information Contact: Deepak T. Pai, Senior Counsel, or
Trace W. Rakestraw, Senior Special Counsel.
Trust for Professional Managers, et al. [File No. 812-15919]
Applicants: Trust for Professional Managers and Mairs & Power, Inc.
Filing Date: The application was filed on October 21, 2025 and
amended on March 31, 2026.
Addresses: Jay S. Fitton, Secretary, Trust for Professional
Managers, c/o U.S. Bank Global Fund Services, 615 East Michigan Street,
2nd Floor, Milwaukee, Wisconsin 53202; Brent M. Williams, Esq., Mairs &
Power, Inc., <a href="/cdn-cgi/l/email-protection#abc9dcc2c7c7c2cac6d8ebc6cac2d9d8cac5cfdbc4dcced985c8c4c6"><span class="__cf_email__" data-cfemail="cdafbaa4a1a1a4aca0be8da0aca4bfbeaca3a9bda2baa8bfe3aea2a0">[email protected]</span></a>; Carol A. Gehl, Esq. and
Christopher M. Cahlamer, Esq., Godfrey & Kahn, S.C., <a href="/cdn-cgi/l/email-protection#e28185878a8ea285898e8395cc818d8f"><span class="__cf_email__" data-cfemail="741713111c1834131f1815035a171b19">[email protected]</span></a>
and <a href="/cdn-cgi/l/email-protection#2d4e4e4c45414c40485f6d4a46414c5a034e4240"><span class="__cf_email__" data-cfemail="7c1f1f1d14101d11190e3c1b17101d0b521f1311">[email protected]</span></a>.
For Further Information Contact: Asaf Barouk, Senior Counsel,
Kaitlin C. Bottock, Assistant Chief Counsel.
Trust for Professional Managers, et al. [File No. 812-15857]
Applicants: Trust for Professional Managers and PT Asset
Management, LLC.
Filing Dates: The application was filed on July 17, 2025 and
amended on October 16, 2025, and April 1, 2026.
Addresses: Jay S. Fitton, Trust for Professional Managers, c/o U.S.
Bank Global Fund Services, 615 East Michigan Street, 2nd Floor,
Milwaukee, Wisconsin 53202; Steven Hayes and Annie Duffy, Esq., PT
Asset Management, LLC, 500 West Madison Street, Suite 470, Chicago, IL
60661;
[[Page 24028]]
Kevin R. Gustafson, Esq., K&L Gates LLP, 70 West Madison Street, Suite
3300, Chicago, IL 60602, <a href="/cdn-cgi/l/email-protection#ca81afbca3a4e48dbfb9beabacb9a5a48aa1a6adabbeafb9e4a9a5a7"><span class="__cf_email__" data-cfemail="1f547a69767131586a6c6b7e796c70715f7473787e6b7a6c317c7072">[email protected]</span></a>; Carol A. Gehl,
Esq., Godfrey & Kahn, S.C., 833 East Michigan Street, Suite 1800,
Milwaukee, Wisconsin 53202, <a href="/cdn-cgi/l/email-protection#b2d1d5d7dadef2d5d9ded3c59cd1dddf"><span class="__cf_email__" data-cfemail="c0a3a7a5a8ac80a7abaca1b7eea3afad">[email protected]</span></a>.
For Further Information Contact: Kris Easter Guidroz, Senior
Counsel, or Trace W. Rakestraw, Senior Special Counsel.
William Blair Funds, et al. [File No. 812-15980]
Applicants: William Blair Funds and William Blair Investment
Management, LLC.
Filing Date: The application was filed on January 29, 2026.
Addresses: Cissie Citardi, William Blair Investment Management,
LLC, <a href="/cdn-cgi/l/email-protection#2a4949435e4b584e436a5d434646434b4748464b435804494547"><span class="__cf_email__" data-cfemail="96f5f5ffe2f7e4f2ffd6e1fffafafff7fbf4faf7ffe4b8f5f9fb">[email protected]</span></a>; Allison M. Fumai, Esq. and Stephanie A.
Capistron, Esq., Dechert LLP, 1095 Avenue of the Americas, New York, NY
10036.
For Further Information Contact: Laura L. Solomon, Senior Counsel,
or Kaitlin C. Bottock, Assistant Chief Counsel.
For the Commission, by the Division of Investment Management,
under delegated authority.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2026-08570 Filed 5-1-26; 8:45 am]
BILLING CODE 8011-01-P
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</html>Indexed from Federal Register on May 4, 2026.
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.