{"abstract":"Summary of Application: Applicants request an order that permits: (a) Series of certain actively-managed open-end management investment companies to issue shares (\"Shares\") redeemable in large aggregations only (\"Creation Units\"); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares.","action":"Notice of an application for an order under section 6(c) of the Investment Company Act of 1940 (\"Act\") for an exemption from sections 2(a)(32), 5(a)(1), 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 (2) of the Act, and under section 12(d)(1)(J) of the Act for an exemption from sections 12(d)(1)(A) and (B) of the Act.","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"body_html_url":"https://www.federalregister.gov/documents/full_text/html/2013/04/01/2013-07415.html","cfr_references":[],"citation":"78 FR 19542","comment_url":null,"comments_close_on":null,"correction_of":null,"corrections":[],"dates":"Filing Dates: The application was filed on November 19, 2010, and amended on April 27, 2011, November 22, 2011, May 15, 2012, October 26, 2012 and March 18, 2013.","disposition_notes":null,"docket_ids":["Investment Company Act Release No. 30436","File No. 812-13848"],"dockets":[],"document_number":"2013-07415","effective_on":null,"end_page":19549,"executive_order_notes":null,"executive_order_number":null,"full_text_xml_url":"https://www.federalregister.gov/documents/full_text/xml/2013/04/01/2013-07415.xml","html_url":"https://www.federalregister.gov/documents/2013/04/01/2013-07415/neuberger-berman-etf-trust-and-neuberger-berman-management-llc-notice-of-application","images":{},"images_metadata":{},"json_url":"https://www.federalregister.gov/api/v1/documents/2013-07415?publication_date=2013-04-01","mods_url":"https://www.govinfo.gov/metadata/granule/FR-2013-04-01/2013-07415/mods.xml","not_received_for_publication":null,"page_length":8,"page_views":{"count":52,"last_updated":"2026-07-26 04:15:02 -0400"},"pdf_url":"https://www.govinfo.gov/content/pkg/FR-2013-04-01/pdf/2013-07415.pdf","presidential_document_number":null,"proclamation_number":null,"public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2013-07415.pdf?1364561515","publication_date":"2013-04-01","raw_text_url":"https://www.federalregister.gov/documents/full_text/text/2013/04/01/2013-07415.txt","regulation_id_number_info":{},"regulation_id_numbers":[],"regulations_dot_gov_info":{"supporting_documents":[],"comments_url":"https://www.regulations.gov/docketBrowser?rpp=50&so=DESC&sb=postedDate&po=0&dct=PS&D=SEC-2013-0619","supporting_documents_count":0,"docket_id":"SEC-2013-0619","regulation_id_number":null,"title":"Applications: Neuberger Berman ETF Trust and Neuberger Berman Management LLC","checked_regulationsdotgov_at":"2013-04-21T06:00:20Z"},"regulations_dot_gov_url":null,"significant":null,"signing_date":null,"start_page":19542,"subtype":null,"title":"Neuberger Berman ETF Trust and Neuberger Berman Management LLC; Notice of Application","toc_doc":"Neuberger Berman ETF Trust and Neuberger Berman Management LLC","toc_subject":"Applications:","topics":[],"type":"Notice","volume":78}