{"abstract":"Summary of Application: Applicants request an order that permits: (a) Series of certain 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 from the tender of Shares for redemption; and (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.","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, under sections 6(c) and 17(b) of the Act for an exemption from sections 17(a)(1) and (a)(2) 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/2016/03/07/2016-04913.html","cfr_references":[],"citation":"81 FR 11846","comment_url":null,"comments_close_on":null,"correction_of":null,"corrections":[],"dates":"Filing Dates: The application was filed on August 20, 2015 and amended on November 12, 2015.","disposition_notes":null,"docket_ids":["Investment Company Act Release No. 32015","812-14535"],"dockets":[],"document_number":"2016-04913","effective_on":null,"end_page":11850,"executive_order_notes":null,"executive_order_number":null,"explanation":null,"full_text_xml_url":"https://www.federalregister.gov/documents/full_text/xml/2016/03/07/2016-04913.xml","html_url":"https://www.federalregister.gov/documents/2016/03/07/2016-04913/advisors-asset-management-inc-and-aam-etf-trust-notice-of-application","images":{},"images_metadata":{},"json_url":"https://www.federalregister.gov/api/v1/documents/2016-04913?publication_date=2016-03-07","mods_url":"https://www.govinfo.gov/metadata/granule/FR-2016-03-07/2016-04913/mods.xml","not_received_for_publication":null,"page_length":5,"page_views":{"count":52,"last_updated":"2026-04-04 02:15:03 -0400"},"pdf_url":"https://www.govinfo.gov/content/pkg/FR-2016-03-07/pdf/2016-04913.pdf","presidential_document_number":null,"proclamation_number":null,"public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2016-04913.pdf?1457099163","publication_date":"2016-03-07","raw_text_url":"https://www.federalregister.gov/documents/full_text/text/2016/03/07/2016-04913.txt","regulation_id_number_info":{},"regulation_id_numbers":[],"regulations_dot_gov_info":{"checked_regulationsdotgov_at":"2016-03-27T06:00:22Z"},"regulations_dot_gov_url":null,"significant":null,"signing_date":null,"start_page":11846,"subtype":null,"title":"Advisors Asset Management, Inc. and AAM ETF Trust; Notice of Application","toc_doc":"Advisors Asset Management, Inc. and AAM ETF Trust","toc_subject":"Applications:","topics":[],"type":"Notice","volume":81}