0001193125-14-412558.txt : 20141114 0001193125-14-412558.hdr.sgml : 20141114 20141114121000 ACCESSION NUMBER: 0001193125-14-412558 CONFORMED SUBMISSION TYPE: APP WD PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20141114 DATE AS OF CHANGE: 20141114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Spruce ETF Trust CENTRAL INDEX KEY: 0001528409 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: APP WD SEC ACT: 1940 Act SEC FILE NUMBER: 812-13953 FILM NUMBER: 141221968 BUSINESS ADDRESS: STREET 1: 400 HOWARD STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 415-670-2850 MAIL ADDRESS: STREET 1: 400 HOWARD STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BlackRock Investments, LLC CENTRAL INDEX KEY: 0001528987 IRS NUMBER: 133806694 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: APP WD SEC ACT: 1940 Act SEC FILE NUMBER: 812-13953-01 FILM NUMBER: 141221969 BUSINESS ADDRESS: STREET 1: 55 EAST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10055 BUSINESS PHONE: 212-810-5300 MAIL ADDRESS: STREET 1: 55 EAST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10055 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BlackRock Fund Advisors CENTRAL INDEX KEY: 0001006249 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: APP WD SEC ACT: 1940 Act SEC FILE NUMBER: 812-13953-02 FILM NUMBER: 141221970 BUSINESS ADDRESS: STREET 1: 400 HOWARD STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 3027913048 MAIL ADDRESS: STREET 1: 400 HOWARD STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 FORMER COMPANY: FORMER CONFORMED NAME: BARCLAYS GLOBAL FUND ADVISORS DATE OF NAME CHANGE: 19970310 FORMER COMPANY: FORMER CONFORMED NAME: BZW BARCLAYS GLOBAL FUND ADVISORS DATE OF NAME CHANGE: 19960311 APP WD 1 d821381dappwd.htm FORM AAP WD Form AAP WD

LOGO

 

   

1875 K Street N.W.

Washington, DC 20006-1238

Tel: 202 303 1000

Fax: 202 303 2000

November 14, 2014

VIA EDGAR

Mr. Norm Champ, Director, Division of Investment Management

Mr. Brent J. Fields, Secretary, Office of the Secretary

Securities and Exchange Commission

100 F Street, NE

Washington, DC 20549

Re:         Spruce ETF Trust, et al. (File No. 812-13953): Request for Withdrawal of Application for Exemptive Order

Dear Messrs. Champ and Fields:

We are writing on behalf of Spruce ETF Trust and other applicants (the “Applicants”) to respectfully request the withdrawal of the Applicants’ 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 17(a)(2) of the Act, and under Section 12(d)(1)(J) of the Act for an exemption from Sections 12(d)(1)(A) and (B) of the Act (the “Application”). The Application was filed with the Securities and Exchange Commission on September 1, 2011.

The Applicants respectfully request that the Application be withdrawn and that the Securities and Exchange Commission take no further action with respect thereto.

If you have any questions or need further information, please call me at (202) 303-1124.

 

LOGO

cc:    Elizabeth G. Osterman, Associate Director and Deputy Chief Counsel

Dalia Osman Blass, Assistant Chief Counsel

Deepak T. Pai, Senior Counsel

Deepa Damre

GRAPHIC 2 g821381g59v42.jpg GRAPHIC begin 644 g821381g59v42.jpg M_]C_X``02D9)1@`!``$`8`!@``#__@`?3$5!1"!496-H;F]L;V=I97,@26YC M+B!6,2XP,0#_VP"$``@&!@<&!0@'!P<*"0@*#18.#0P,#1L3%!`6(!PB(1\< M'QXC*#,K(R8P)AX?+#TM,#4V.3HY(BL_0SXX0S,X.3H.$A8:' MB(F*DI.4E9:7F)F:HJ.DI::GJ*FJLK.TM;:WN+FZPL/$Q<;'R,G*TM/4U=;7 MV-G:X>+CY.7FY^CIZO'R\_3U]O?X^?H1``(!`@0$`P0'!00$``$"=P`!`@,1 M!`4A,08205$'87$3(C*!"!1"D:&QP0DC,U+P%6)RT0H6)#3A)?$7&!D:)BH*#A(6& MAXB)BI*3E)66EYB9FJ*CI*6FIZBIJK*SM+6VM[BYNL+#Q,7&Q\C)RM+3U-76 MU]C9VN+CY.7FY^CIZO+S]/7V]_CY^O_``!$(`!X!4P,!$0`"$0$#$0'_V@`, M`P$``A$#$0`_`/;M:U";2M-EO8H%F6(992VTXR.G!H`@;5[@>'_[5CMXI%\K MS?+$A^[C/7'7K0!)8:E/?Z/'J$<4*B1=X4N>!W!.*`%MM67R8VU!K>UED4,L M7FY//;D"@"U-J%I;E1-NQLXH`;+?VD$HBEN8TD/16;!-`!+J%G!*L4MS&DC=%9L$_2@`DU&SAF\F M2YB23LA8`G\*`"74+.&;RI;F-).REL$_A0`1ZA9S3B".YC:4C(0,,X^E`!?3 MRVUI+/$B/Y:ER&)&0!F@"CI6IWFK:7%?16\""0'"-(>,''7'M0!/8:A--%WDV-^\W*1@$'.!ZT`7I)$B0O(P51U)[4`51JVG%=PO8-F<;MXQ^=`%E MYHHHO->15CZ[B>*`*PU;3V4,+V`J3@-O&/SH`N`@@$'(H`JZCJ$&F6;7,^=B MD`!1DL2<`"@!\%PTCM')$8I%`.TD'@^X^E`$]`&-::M/JUW<)IXB2UMVV&>1 M2V]NX4`C@>N:`)8=4E&K+IES!BU`$5O>VMT2MO<1RE>NQLXH`2:_M+>4137,<C,P`/XT`(;ZU6`3M<1B+^^6X_.@!IU*R6$3&ZB$1Z.6&/SH`:VJZ M>BAGO(54]"7`%`#Y=1LX)!'+VRWEC/;,.)8V3\Q0!RWA>7[9X6739>629K=Q_L_>/Z9%`#/#,K M)H-WI+$B6&Z-O^#'G]-U`%OQ0`-9\/`#@77^%`"^+_\`7:)_U_)0!T]`'->" M?^03=?\`7W)_2@"/Q)*D/B;P_+(VU%>0D_@*`-32KBWUA%U-"'`++$".8^>? MQ-`&7K/_`"/.@_[LG\C0`NMND?C/0GDW-I;_+)(AE8CJ0F,#\3@4`7-%OO[2T"UNLY9XOF_WAP?U%`'.>&; MFQA\%3K>O'Y9:0,C$9/MB@#2\,6UW:^$!'>!E?:Y56ZJO84`9>@7%E'\/F2[ M>,J1(-A())).`!ZT`;OA2WN[7PY:Q7H82@'Y6ZJN>`?PH`K>,@MQHYLXRS7C M'S(HT&2=O)/L,=Z`%T;7+:;3X=0O;I$EN`(PH!PI&>/W$1 MY$#LI_X":`,KP+&(_"MN1U=W8_GC^E`&B][I;ZG$3=(+J)654SS@XSQ^%`%? MQ/!+>Z1-90,1(\;.<>B\X_$X%`%G0+[^TM"L[K.6:,!O]X<']10!E^"_^/34 MO^OV3^E`"^(O^1C\._\`7=_Y"@#I:`.4\72SQ?9[^%CLTZ9'=1WSU_3'YT`2 M>,K]TT."*V+(HH@V>7M]L8H`Y[Q';&R\`R6I8,8 M4C3([X84`6=1N8SX.N$"R9^QD?ZML?=]<4`4]4_Y)HO_`%[1?S6@#2MI[34; M2+2CMDWV89P1]T8`'\_TH`H>(]L6O>'=S`*LQR3QZ4`-U$"]\9Z6^FD-)`"; MJ2,\!.P8_GQ[T`=4TB1XWNJY.!DXS0`>8F_9O7?C.W/-`"+-$[;4D5CZ`YH` M?0`4`=HGSK_P`?J-U[>M`&U)JMJM_!:)/&SN&9 M@&!VJ!U]J`,/PA=VUMHUX\\\<:BZD)+,!QQ0!#J5[%>:YX8N2R`.7<\]`0,4 M`2JZ>&_%&T.HT[4SG&1B.7_`_P">E`!K$T1\;Z$PD3:%DR=PP.#0`_6)8U\: MZ&3(H"K+G)Z<=Z`-87]G;7\%E;RQO+!U/(/8O$2P&5;_/ZT`)X+AM[KPNT$J1OND<,IP3B@"7PO=-_ MPBTL%U-^^MS)&0[?,H'0'-`$7A*W@O/!2V[HDC,)`5.">IQ0!>\&W4D_AZ". M>4M<0LR.&/S+@\`_AB@".\N5TKQ<+R]^2SN+80I,?NHP;.#Z9H`Q].N+32O$ MDL)N%&DS2&>"0CY!)C!`;IW/Y"@#M98X[ZQ>,Y\N>,KR.Q%`&#X/+V-G+HUU M\EU:R-A3_&AY##U'6@"/>'^(:RC_`%2V;)O_`(<@Y(S[9%`&G;31:E>W,UO? M#$9\D"/:>!R3R#W/Z4`97A:>+3KW5=(>9=L$WF1$D#*M_D?G0`>$;JWM['4F MFGCC47DARS`<<4`1:G?Q7NJ>&;D.H5Y7;KT&!@T`=`^LV:7WV?[3%A(C)(=P M^4`@#^M`%`6R:OHEPPO?W=VK.0-I"YZ`G'88H`P%6;6O!%J(AYE[ITH)C!RQ MV''\B*`.FU&[M;[P[/+&5E\R$^6N,MN(X`'7.:`,#40D?PR12%21XHR1T+'< M,_6@#:U*6,^"Y\2+S9D#GJ=G2@#,U.6,_#95$BD_9XQC/?*T`:PO["QTF&^E MGC#PVP4?,,G@'&/J!0!F:_/')K?AQG9!^])<9Z9`ZT`2ZZ!9:_HM]"1%&\AB MFD7A64XP#^M`&EK3(?[-;*D?;$P?P-`$0NK<>)99_-3RUL\%L^CG-`%?3K'[ M9*TJR"-;?4)9:`.CH`*`$"J&+!0&/4XZT`&Q0Y?:-Q&"<3%_SR3_OD4`!BC/6-?RH`4Q1 MMU13VY%`">3%_P`\U_[YH`#%&QR8U)]Q0`+%&ARJ*#Z@4`.9%?AE!^HH`01Q MKG"*,]<#K0`+&B'*HJGV&*`$\F+_`)YI_P!\B@!5C1#E44'V%`"&*,L6,:DG MJ<=:`%5$0Y5`/H*``1HKE@BACU(')H`4@,,$`CT-`"%$*A2H('0$=*`'4`0S MVMO<@"X@CE`Z;T#8_.@!ZPQ(BHL2*JC"@*``/:@!5C1#E453[#%`">3%_P`\ MT_[Y%`!Y,7_/)/\`OD4`!BC/6-?RH`/)B`QY:8_W10`HC15*A%`/48ZT`"QH MARJ*#["@!!#$)/,$:!_[VT9H`4QHV,HIQTR*`#RH]NW8N.N,4`)Y4>,>6N/I M0`>3%_SR3_OD4`!BC)R8U)]Q0`I1638R@KZ$<4`'EIM"[%P.@QTH`3RH_P#G 0FOY4`."JOW0!]!0`M`'_V3\_ ` end GRAPHIC 3 g821381g79g62.jpg GRAPHIC begin 644 g821381g79g62.jpg M_]C_X``02D9)1@`!`0$`8`!@``#_X0!217AI9@``24DJ``@````!`&F'!``! M````&@`````````!`(:2`@`=````+`````````!,14%$(%1E8VAN;VQO9VEE M*SLL+S,U.#@X(2H]03PV03(W.#7_VP!#`0D* M"@T+#1D.#ADU)!XD-34U-34U-34U-34U-34U-34U-34U-34U-34U-34U-34U M-34U-34U-34U-34U-34U-37_P``1"`!(`*\#`2(``A$!`Q$!_\0`'P```04! M`0$!`0$```````````$"`P0%!@<("0H+_\0`M1```@$#`P($`P4%!`0```%] M`0(#``01!1(A,4$&$U%A!R)Q%#*!D:$((T*QP152T?`D,V)R@@D*%A<8&1HE M)B7J# MA(6&AXB)BI*3E)66EYB9FJ*CI*6FIZBIJK*SM+6VM[BYNL+#Q,7&Q\C)RM+3 MU-76U]C9VN'BX^3EYN?HZ>KQ\O/T]?;W^/GZ_\0`'P$``P$!`0$!`0$!`0`` M``````$"`P0%!@<("0H+_\0`M1$``@$"!`0#!`<%!`0``0)W``$"`Q$$!2$Q M!A)!40=A<1,B,H$(%$*1H;'!"2,S4O`58G+1"A8D-.$E\1<8&1HF)R@I*C4V M-S@Y.D-$149'2$E*4U155E=865IC9&5F9VAI:G-T=79W>'EZ@H.$A8:'B(F* MDI.4E9:7F)F:HJ.DI::GJ*FJLK.TM;:WN+FZPL/$Q<;'R,G*TM/4U=;7V-G: MXN/DY>;GZ.GJ\O/T]?;W^/GZ_]H`#`,!``(1`Q$`/P#W&N?\5W]YIT=G-;P7 M$UKYV+O[,NZ18\'D#J0#C..<5T%5+RQ:ZDA=)Y(7A8L-N"&R,8(/4.2W^TQM,BC> MN0I`P3SD@?C5F+PQ!`86BD97CFEG=L#]Y)(""3Z=>U5)/`UE/9PVUQ+-+%#: MM:J,@':6#9R.X*KS[4`6Y/$T,.Y)+2[$X+;8=@+.%`)9><$[6.)%>21H@`H9=RY!.&79;65M5N_MMJQ\N[VQ[MK#!7;MV MX(`[=1FGWFB6,R7R7MT62^C1)`7"L-HX(/KWH`CGUM[JZL?LRW%N!?>1-'+& M%WCRV;@]QP.0:N:9K]OJ9588)T?S'C='`#1E#@[AG@=,?6J]MI/GVUH[ZE+> MO:S>:)6"_-A2N.!CH319:;+(-1OEA;3[R^7'#*[*5&T-W7/3\N:`-T'-+4-I M')%;1I-)YLJJ`SXQN/>(1*AD(SM!R:GH`* M*1F"@D\`=ZBM[@7*EU5@N<`D?>'J/:@":C-%5-0GDBB`A8"1N%7&23[4`6\T M57LTGCMD%U())!E@D$7YS>W!AB/_+"`XS[%NOY8H`BO'LH MSMEDGNI><1([,3^`X_.J?EW=U,8K6U@M4488G#,OL3_2M^WLX;6,)!&D:^BC M%12:9"\S3*TD4C?>:-R,_4=*`&Z=8_880AE:0^_`'T`Z5=`&*R;JW=I!;V]Q M<&;())D.%'J?\*UD&$`SG`ZF@!:**3-`"TR25(E+.ZJ!U).*J37CO*8;6/?( M/O,?NI]?4^U)'IRAQ+=N;B4="PPJ_0=*``ZA)/D647FCIYC':@_J:@FCFE<1 M33F:1O\`EE%\JJ/4GK^M3M.]SF.S&U.AFQQ^'J:L6UK';)A!R>2QY)/N:`(; M'38;,EUC7S6X+AY;5"`,I:@\D\&3_P"M_.@! M48ZG(2"1:J<#_IH?\*O$JB\D*`/RK/N]7MK#$28=QQM7HOU/:JJ&ZU%R[1.Z M_P`*OE(_RZM0!;DO)[IRFG[=H.&G;E1]/4TOFVUF1OD,TYXX^9S^`Z4C6;F+ M=>W.V,#F./Y%`^O6HH(Y)HMMC$MG"3CS"OS,/4#^IH`2XU:X7"Q6^QB,CS&^ M8_11S4NG)J;RF:_F14(^6%$Z?4U:M=/AM`=@)=OO.QRS?4U8`Q0`M(RAA@]# M2UF:KH4.KLAFN+N+8,#[/.T>?KB@#12)(UVHH4>@&*=7.GP5:8_X_P#5>N?^ M/Z3_`!J.3PA8P1N\FI:JB8R6-_)Q^M`'3=*HR73W,QAM"/E.'EZA?8>IKEAX M?MKZX!M[_67C`Y5;V3+?K@#]:MQ^"\@+%>ZC:1KT`OI&)_#.!0!TT$"0)\O4 M\DGJ34H((XYKF_\`A!K=D42ZKK,F/[U^_7UI_P#PAL0((U?61CTOWY^M`'15 M!,2!]>U:"^!X48LFK:PK-R6%Z^2:`.BB55C`5=H'08QBB6011EVZ`9X&:P?^ M$0&/^0UK0/M?-4:^#7`(_M_6^?6\-`&J(I=0;=<`QP?PQ=S[L?Z5+=69N8UC M69H8_P"()P2/3/:L;_A#GW$_V]K7/;[6VBW8C#'A'#;3T;'K5@"EHH`****`"F22I$I9V"J.I)X%1W=TEK"9'8`#W MQFN0U_4;V.YTR93"(KRZ%NTDR$K$"I.47(Y^7J?7B@#=N=<>641:;"9W;HS< M+]?7%2)H[W96359?M##D0J-L:GZ=_P`:R_#VO0/!>B5%Q:W/V=9X@7%P<`Y' M4YY((YQBK8\9:08PZW32*8O-^2%V(7.TDX'&"#GTQ0!MI$D:!44*HZ`#`%/K M'AUV'[7>)-=1,L3QJB)&VX;QP#_>).<8IK^+-*2(2?:]RF)I?EC8G:K;6.`. MQZ^E`&U16#>>*+3[#/+:7D2-`T89I8G*X<@`X')!YP1Q5D>(]/;4OL/VC_2/ M-\DKL;`?;NVYQC..>M`$UR]W<3F&W'DH/O3,,G_@(_K4EEIL%BC>6N71C MEG/N:S]2UF2P\0:;8_N1%>"4L[D@KL`/'8YS4&G>*!/<:BEXT2);7?V:$Q98 MR?('Z#/.">GI0!T72BLQ-?L9PGV>X$ID564JI(^;[N2!QG'>J.F>)&OO#(O9 M6AAN?(:5AAC&F"0">^.*`.AHK&7Q1IR;$GNT$VV(N%5L+YGW3TX!K8!S0`M% M%%`!1110`4444`%%%%`%(ZW=]% M6:>8S0*TM@UH5CA*J"6)R!GIS110!5L]+O;JYOKBU80K*UMM,J,OF!$PP(X( MY(_*DL?!MS:1NANHBAMKBW4!#QYKE@>O;.***`'W'@Z>:">,7,2^;:V\`.P] M8FSD\]ZL-X8N&U.6[^T1CS-1CO=NT]%C";?TS110!=U#1WO?$&FW^]`EDL@, M9&=V\`?IBL]?#=]%=7$D%S`JSWIN&CV$`J4"X)'?C/'7I110!%IO@Z6QAL5, MT0ELT6-9X@RLZ@G*L,X8'/?IS3='\'7>CZ3=6,=XLD5U`R.&!.V0Y&Y?08(R M/4444`2R>$KEK:\C$\.;BVMX%)4\&+/)^N:ZA00.:**`'4444`%%%%`!1110 '`4444`?_V3\_ ` end