Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

Rule 6d-1 -- Exemption for Certain Closed-End Investment Companies

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1. An application under section 6(d) of the Act shall contain the following information:
   
   
   1. A brief description of the character of the business and investment policy of the applicant.
      
      
   2. The information relied upon by the applicant to satisfy the conditions of paragraphs 1 and 2 of section 6(d) of the Act.
      
      
   3. The number of holders of each class of the applicant's outstanding securities.
      
      
   4. An unconsolidated balance sheet as of a date not earlier than the end of the applicant's first fiscal year, together with a schedule specifying the title, the amount, the book value and, if determinable, the market value of each security in the applicant's portfolio.
      
      
   5. An unconsolidated profit and loss statement for the applicant's last fiscal year.
      
      
   6. A statement of each provision of the act from which the applicant seeks exemption, together with a statement of the facts by reason of which, in the applicant's opinion, such exemption is not contrary to the public interest or inconsistent with the protection of investors.
      
      
2. There shall be attached to each copy of the application a copy of Form N-8A. The form need not be executed, but it shall be clearly marked on its facing page as an exhibit to the application. The filing of Form N-8A in this manner shall not be construed as the filing of a notification of registration under section 8(a) of the Act.
   
   
3. The application may contain any additional information which the applicant desires to submit.

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