Opportunity
Federal Register #812-16089
SEC notice of UBS application for investment company exemptions
Buyer
Securities and Exchange Commission
Posted
November 05, 2026
Identifier
812-16089
The SEC notice concerns an investment-company exemption application, not a purchase of goods or services. - Government agency: U.S. Securities and Exchange Commission (SEC), Division of Investment Management. - Applicants: UBS Asset Management Credit Income Opportunities Fund and UBS Asset Management (Americas) LLC. - Requested relief: permission for certain registered closed-end investment companies to issue multiple share classes and charge asset-based distribution and/or service fees and early withdrawal charges. - The application invokes provisions of the Investment Company Act of 1940 and related rules. No products, services, quantities, or part numbers are requested.
Description
The Securities and Exchange Commission notice concerns an application for exemptions under the Investment Company Act of 1940. The applicants request an order allowing certain registered closed-end investment companies to issue multiple classes of shares and impose asset-based distribution and/or service fees and early withdrawal charges. The application was filed on September 17, 2026; an order granting the requested relief will be issued unless the Commission orders a hearing.