{"abstract":"Summary of the Application: The requested order would (a) permit certain registered open-end management investment companies that operate as \"funds of funds\" to acquire shares of certain registered open-end management investment companies and unit investment trusts (\"UITs\") that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on rule 12d1-2 under the Act to invest in certain financial instruments. Applicants: ALPS Series Trust (\"Trust\"), Brinker Capital, Inc. (\"Fund of Funds Adviser\"), and ALPS Distributors, Inc. (the \"Distributor\").","action":"Notice of an application for an order under section 12(d)(1)(J) of the Investment Company Act of 1940 (the \"Act\") for an exemption from sections 12(d)(1)(A) and (B) of the Act, 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 6(c) of the Act for an exemption from rule 12d1- 2(a) under 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/2014/01/22/2014-01135.html","cfr_references":[],"citation":"79 FR 3633","comment_url":null,"comments_close_on":null,"correction_of":null,"corrections":[],"dates":"Filing Dates: The application was filed on September 27, 2013 and was amended on January 3, 2014.","disposition_notes":null,"docket_ids":["Investment Company Act Release No. 30858","File No. 812-14218"],"dockets":[],"document_number":"2014-01135","effective_on":null,"end_page":3637,"executive_order_notes":null,"executive_order_number":null,"full_text_xml_url":"https://www.federalregister.gov/documents/full_text/xml/2014/01/22/2014-01135.xml","html_url":"https://www.federalregister.gov/documents/2014/01/22/2014-01135/alps-series-trust-et-al-notice-of-application","images":{},"images_metadata":{},"json_url":"https://www.federalregister.gov/api/v1/documents/2014-01135?publication_date=2014-01-22","mods_url":"https://www.govinfo.gov/metadata/granule/FR-2014-01-22/2014-01135/mods.xml","not_received_for_publication":null,"page_length":5,"page_views":{"count":35,"last_updated":"2026-07-26 02:15:03 -0400"},"pdf_url":"https://www.govinfo.gov/content/pkg/FR-2014-01-22/pdf/2014-01135.pdf","presidential_document_number":null,"proclamation_number":null,"public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2014-01135.pdf?1390312907","publication_date":"2014-01-22","raw_text_url":"https://www.federalregister.gov/documents/full_text/text/2014/01/22/2014-01135.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-2014-0119","supporting_documents_count":0,"docket_id":"SEC-2014-0119","regulation_id_number":null,"title":"Applications: ALPS Series Trust, et al.","checked_regulationsdotgov_at":"2014-02-11T08:50:23Z"},"regulations_dot_gov_url":null,"significant":null,"signing_date":null,"start_page":3633,"subtype":null,"title":"ALPS Series Trust, et al.; Notice of Application","toc_doc":"ALPS Series Trust, et al.","toc_subject":"Applications:","topics":[],"type":"Notice","volume":79}