0001752724-24-052389.txt : 20240312 0001752724-24-052389.hdr.sgml : 20240312 20240312162747 ACCESSION NUMBER: 0001752724-24-052389 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20231231 FILED AS OF DATE: 20240312 DATE AS OF CHANGE: 20240312 EFFECTIVENESS DATE: 20240312 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED FUND VI CENTRAL INDEX KEY: 0001552740 ORGANIZATION NAME: IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-22717 FILM NUMBER: 24742492 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187

0001552740 S000061869 First Trust Dorsey Wright DALI 1 ETF

C000200399 First Trust Dorsey Wright DALI 1 ETF DALI

N-CEN 1 primary_doc.xml X0404 N-CEN LIVE 0001552740 XXXXXXXX 811-22717 false false false N-1A S000061869 C000200399 First Trust Exchange-Traded Fund VI 811-22717 0001552740 549300ZLB3EUU3H8NE60 120 East Liberty Drive Suite 400 Wheaton 60187 US-IL US 630-765-8000 The Bank of New York Mellon 240 Greenwich Street New York 10286 212-495-1784 Records related to Fund Accounting, Custody, Transfer Agent, and Administration. Brown Brothers Harriman & Co. 50 Post Office Square Boston 02110 617-772-1818 Records related to Fund Accounting, Custody, Transfer Agent and Administration. First Trust Advisors L.P. 120 East Liberty Drive Suite 400 Wheaton 60187 630-765-8000 Records related to the registrant and investment advisor. N N N-1A 32 Y Robert F. Keith N/A N Niel B. Nielson N/A N Richard E. Erickson N/A N Denise M. Keefe N/A N Thomas R. Kadlec 001721772 N James A. Bowen 001123316 Y Bronwyn Wright N/A N Kristi A. Maher N/A 120 East Liberty Drive, Suite 400 Wheaton 60187 XXXXXX N N N N N N First Trust Portfolios L.P. 008-43843 000028519 54930062T84Z5CXY1C58 Y N Deloitte & Touche LLP 34 549300FJV7IV1ZHGAV28 N N N N N N First Trust Dorsey Wright DALI 1 ETF S000061869 549300VKM0HG3DGERT15 N 0 0 0 Exchange-Traded Fund Fund of Funds N N 0.57000000 -0.46000000 0.26000000 0.26000000 N N Y N BNY Mellon HPFHU0OQ28E4N0NFVK49 N N Brown Brothers Harriman & Co. 5493006KMX1VFTPYPW14 N N N/A N/A N/A Rule 12d1-4 (17 CFR 270.12d1-4) Section 12(d)(1)(G) of the Act (15 USC 80a-12(d)(1)(G)) Rule 32a-4 (17 CFR 270.32a-4) Rule 6c-11 (17 CFR 270.6c-11) N N N N First Trust Advisors L.P. 801-39950 000107027 549300381GGS7S5JQ115 N Brown Brothers Harriman & Co. 084-06072 5493006KMX1VFTPYPW14 N N The Bank of New York Mellon 085-05006 HPFHU0OQ28E4N0NFVK49 N N Y Bloomberg L.P. 549300B56MD0ZC402L06 N ICE Data Pricing & Reference Data, LLC 5493000NQ9LYLDBCTL34 N LSEG Pricing Service 213800QAUUUP6I445N30 GB N N Brown Brothers Harriman & Co. 5493006KMX1VFTPYPW14 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Y The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Brown Brothers Harriman & Co. 5493006KMX1VFTPYPW14 N N Y Brown Brothers Harriman & Co. 5493006KMX1VFTPYPW14 N N The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Y First Trust Portfolios L.P. 008-43843 000028519 54930062T84Z5CXY1C58 0.00000000 TP ICAP Global Markets Americas LLC 008-12726 000002762 78E0W5ARMBFSS8K1Y274 674.37000000 SUSQUEHANNA FINANCIAL GROUP, LLLP 008-44325 000035865 549300E8QX0ZMRDC2M81 8853.00000000 Jane Street Execution Services, LLC 008-69254 000167280 549300HXJLXCPDWAH070 101263.02000000 OLD MISSION MARKETS LLC 008-69691 000281867 5493003UFGIEMN1POL71 980.61000000 CITADEL SECURITIES LLC 008-53574 000116797 12UUJYTN7D3SW8KCSG25 79374.90000000 GOLDMAN SACHS & CO. LLC 008-00129 000000361 FOR8UP27PHTHYVLBNG30 66.88000000 J.P. MORGAN SECURITIES LLC 008-35008 000000079 ZBUT11V806EZRVTWT807 527.14000000 BTIG, LLC 008-65473 000122225 549300GTG9PL6WO3EC51 160.54000000 191900.46000000 SUSQUEHANNA FINANCIAL GROUP LLLP 008-44325 000035865 549300E8QX0ZMRDC2M81 39956487.86000000 Jane Street Execution Services, LLC 008-69254 000167280 549300HXJLXCPDWAH070 343471234.38000000 TP ICAP GLOBAL MARKETS AMERICAS LLC 008-12726 000002762 78E0W5ARMBFSS8K1Y274 2374738.39000000 OLD MISSION MARKETS LLC 008-69691 000281867 5493003UFGIEMN1POL71 2216353.72000000 GOLDMAN SACHS & CO. LLC 008-00129 000000361 FOR8UP27PHTHYVLBNG30 399585.30000000 J.P. Morgan Securities LLC 008-35008 000000079 ZBUT11V806EZRVTWT807 1321695.80000000 CITADEL SECURITIES LLC 008-53574 000116797 12UUJYTN7D3SW8KCSG25 283589149.84000000 BOFA SECURITIES, INC. 008-69787 000283942 549300HN4UKV1E2R3U73 17531141.60000000 BTIG LLC 008-65473 000122225 549300GTG9PL6WO3EC51 493011.29000000 691353398.18000000 N 142596238.89000000 0.00000000 N N N First Trust Dorsey Wright DALI 1 ETF S000061869 Y 50000.00000000 0.06000000 0.10000000 99.94000000 0.10000000 7.81000000 26.34000000 92.19000000 26.34000000 0.00000000 230.77000000 0.00000000 0.00000000 230.77000000 0.00000000 0.00000000 250.00000000 0.00000000 0.00000000 250.00000000 0.00000000 Y false false true false false false INTERNAL CONTROL RPT 2 G.1.a.iii_ETF_VI.htm

REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

To the Shareholders and Board of Trustees of First Trust Exchange-Traded Fund VI:

In planning and performing our audit of the financial statements of First Trust Exchange-Traded Fund VI (the “Trust”), including the First Trust Dorsey Wright DALI 1 ETF, as of and for the year ended December 31, 2023, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Trust’s internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Trust’s internal control over financial reporting. Accordingly, we express no such opinion.

The management of the Trust is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A fund's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A fund's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the fund; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and directors of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of a fund's assets that could have a material effect on the financial statements.

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the fund's annual or interim financial statements will not be prevented or detected on a timely basis.

Our consideration of the Trust’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Trust’s internal control over financial reporting and its operation, including controls for safeguarding securities that we consider to be a material weakness, as defined above, as of December 31, 2023.

This report is intended solely for the information and use of management and the Board of Trustees of the Trust and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

/s/ DELOITTE & TOUCHE LLP

Chicago, Illinois

February 23, 2024