ARK 向美 SEC 申请发行风投基金代币化份额类别
深潮 TechFlow 消息，9 月 09 日，ARK Investment Management 已向美国 SEC 提交豁免申请，寻求为其风投基金 ARK Venture Fund 发行代币化份额类别。SEC 于 8 月 24 日发布相关通知，并将 9 月 18 日设为听证请求截止日期。ARK 选择通过标准的豁免申请途径来推进代币化类别的豁免申请，而不是等待美国证券交易委员会（SEC）已暗示但尚未发布的代币化豁免。申请人是 ARK Venture Fund，这是一只持续发行的封闭式定期基金，根据其半年报，截至 1 月 31 日，其总资产为 5.62 亿美元。申请拟设立两个类别：交易所类别将在国家证券交易所上市，代币化类别则通过分布式账本技术记录所有权，可在注册的另类交易系统或白名单钱包之间点对点转让。代币化份额将按资产净值发行、免销售费用，由注册经纪商或基金过户代理人分销，并自行承担交易
ARK files with the SEC for a tokenized share class of its venture fund
TechFlow, Sep 9: ARK Investment Management filed an exemptive application with the SEC to create a tokenized share class of ARK Venture Fund. The SEC noticed the filing on Aug 24 with a hearing-request deadline of Sept 18; ARK chose the standard exemptive route rather than waiting for the SEC's hinted-but-unreleased tokenization exemption. ARK Venture Fund is a continuously offered closed-end interval fund with $562 million of total assets as of Jan 31. The application proposes two classes: an exchange class listed on a national securities exchange, and a tokenized class recording ownership on distributed ledger technology, transferable peer-to-peer between registered alternative trading systems or whitelisted wallets. Tokenized shares would be issued at NAV with no sales charge, distributed by registered broker-dealers or the fund's transfer agent.