Federal Register #812-16027

SEC Notice: Third Lake Partners Alternative Yield Strategy Fund Seeks Investment Company Act Exemptions

This SEC notice announces an application from Third Lake Partners Alternative Yield Strategy Fund and Third Lake Partners, LLC for regulatory exemptions under the Investment Company Act of 1940. - Government Buyer: - Securities and Exchange Commission (SEC) - OEMs/Vendors Mentioned: - Third Lake Partners Alternative Yield Strategy Fund - Third Lake Partners, LLC - Products/Services Requested: - No products or services are being procured; the notice concerns a request for regulatory relief - Unique or Notable Requirements: - The application seeks permission for certain registered closed-end investment companies to issue multiple classes of shares - Requests authority to impose asset-based distribution/service fees and early withdrawal charges - Seeks exemptions from sections 6(c), 18(a)(2), 18(c), 18(i), and 23(c) of the Investment Company Act of 1940, as well as rule 23c-3 - Includes a request for orders under section 17(d) and rule 17d-1 - This is an informational notice only; no procurement action is involved

Description

This notice from the Securities and Exchange Commission announces an application filed on May 11, 2026, by Third Lake Partners Alternative Yield Strategy Fund and Third Lake Partners, LLC. The application requests an order to permit certain registered closed-end investment companies to issue multiple classes of shares and to impose asset-based distribution and/or service fees and early withdrawal charges. The notice includes details about the legal exemptions sought under the Investment Company Act of 1940. Interested persons may request a hearing by July 20, 2026.

View original listing