# 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.

[View original listing](https://www.federalregister.gov/documents/2026/11/05/2026-22544/ubs-asset-management-credit-income-opportunities-fund-and-ubs-asset-management-americas-llc)