0001752724-19-071672.txt : 20190709
0001752724-19-071672.hdr.sgml : 20190709
20190709133004
ACCESSION NUMBER: 0001752724-19-071672
CONFORMED SUBMISSION TYPE: N-CEN/A
PUBLIC DOCUMENT COUNT: 5
CONFORMED PERIOD OF REPORT: 20181231
FILED AS OF DATE: 20190709
DATE AS OF CHANGE: 20190709
EFFECTIVENESS DATE: 20190709
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FRANKLIN FUND ALLOCATOR SERIES
CENTRAL INDEX KEY: 0001022804
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: N-CEN/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-07851
FILM NUMBER: 19946864
BUSINESS ADDRESS:
STREET 1: ONE FRANKLIN PARKWAY
CITY: SAN MATEO
STATE: CA
ZIP: 94403-1906
BUSINESS PHONE: 650-312-4018
MAIL ADDRESS:
STREET 1: FRANKLIN FUND ALLOCATOR SERIES
STREET 2: ONE FRANKLIN PARKWAY
CITY: SAN MATEO
STATE: CA
ZIP: 94403-1906
FORMER COMPANY:
FORMER CONFORMED NAME: FRANKLIN TEMPLETON FUND ALLOCATOR SERIES
DATE OF NAME CHANGE: 19960912
0001022804
S000007239
FRANKLIN CONSERVATIVE ALLOCATION FUND
C000019840
ADVISOR CLASS
FTCZX
C000019841
CLASS A
FTCIX
C000019842
CLASS C
FTCCX
C000019843
CLASS R
FTCRX
C000126011
Class R6
0001022804
S000007240
FRANKLIN COREFOLIO ALLOCATION FUND
C000019844
CLASS A
FTCOX
C000019846
CLASS C
FTCLX
C000019847
CLASS R
C000019848
ADVISOR CLASS
FCAZX
C000194375
Class R6
FTLQX
0001022804
S000007241
FRANKLIN FOUNDING FUNDS ALLOCATION FUND
C000019849
CLASS A
FFALX
C000019851
CLASS C
FFACX
C000019852
CLASS R
FFARX
C000019853
ADVISOR CLASS
FFAAX
C000194376
Class R6
FFAQX
0001022804
S000007242
FRANKLIN GROWTH ALLOCATION FUND
C000019855
ADVISOR CLASS
FGTZX
C000019856
CLASS A
FGTIX
C000019857
CLASS C
FTGTX
C000019858
CLASS R
FGTRX
C000126012
Class R6
0001022804
S000007243
FRANKLIN MODERATE ALLOCATION FUND
C000019860
ADVISOR CLASS
FMTZX
C000019861
CLASS A
FMTIX
C000019862
CLASS C
FTMTX
C000019863
CLASS R
FTMRX
C000126013
Class R6
0001022804
S000012937
Franklin LifeSmart Retirement Income Fund
C000034925
CLASS A
FTRAX
C000034926
CLASS C
FRTCX
C000034927
CLASS R
FBRLX
C000034928
ADVISOR CLASS
FLRDX
C000126014
Class R6
FLMTX
0001022804
S000012938
Franklin LifeSmart 2025 Retirement Target Fund
C000034929
CLASS A
FTRTX
C000034930
CLASS C
FTTCX
C000034931
CLASS R
FRELX
C000034932
ADVISOR CLASS
FLRFX
C000126015
Class R6
FTLMX
0001022804
S000012939
Franklin LifeSmart 2035 Retirement Target Fund
C000034933
CLASS C
FTRCX
C000034934
CLASS R
FLRGX
C000034935
ADVISOR CLASS
FLRHX
C000034936
CLASS A
FRTAX
C000126016
Class R6
FMTLX
0001022804
S000012940
Franklin LifeSmart 2045 Retirement Target Fund
C000034937
CLASS A
FTTAX
C000034938
CLASS C
FLRIX
C000034939
CLASS R
FLRJX
C000034940
ADVISOR CLASS
FLRLX
C000126017
Class R6
FMLTX
0001022804
S000041337
Franklin LifeSmart 2020 Retirement Target Fund
C000128212
Class A
FLRMX
C000128213
Class C
FLRQX
C000128214
Class R
FLRVX
C000128215
Class R6
FRTSX
C000128216
Advisor Class
FLROX
0001022804
S000041338
Franklin LifeSmart 2030 Retirement Target Fund
C000128217
Advisor Class
FLRZX
C000128218
Class A
FLRSX
C000128219
Class C
FLRTX
C000128220
Class R
FLRWX
C000128221
Class R6
FLERX
0001022804
S000041339
Franklin LifeSmart 2040 Retirement Target Fund
C000128222
Class A
FLADX
C000128223
Class C
FLOLX
C000128224
Class R
FLSGX
C000128225
Class R6
FLREX
C000128226
Advisor Class
FLSHX
0001022804
S000041340
Franklin LifeSmart 2050 Retirement Target Fund
C000128227
Class A
FLSJX
C000128228
Class C
FLSKX
C000128229
Class R
FLSNX
C000128230
Class R6
FRLEX
C000128231
Advisor Class
FLSOX
0001022804
S000049109
Franklin LifeSmart 2055 Retirement Target Fund
C000154867
Class A
FLTFX
C000154868
Class C
FLTNX
C000154869
Class R
FLSBX
C000154870
Class R6
FLSZX
C000154871
Class Advisor
FLTKX
N-CEN/A
1
primary_doc.xml
X0201
N-CEN/A
0001752724-19-011891
LIVE
0001022804
XXXXXXXX
811-07851
true
N-1A
S000007240
true
S000041339
true
S000007242
true
S000007243
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S000041340
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S000041338
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S000007241
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S000041337
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S000012937
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S000012939
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S000007239
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S000049109
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FRANKLIN FUND ALLOCATOR SERIES
811-07851
0001022804
5493009BPYLDNZHEMO31
One Franklin Parkway
San Mateo
94403-1906
US-CA
US
650-312-2000
Franklin Advisers, Inc.
One Franklin Parkway
San Mateo
94403-1906
650-312-2000
Records related to its functions as Investment manager
Franklin Templeton Services, LLC
One Franklin Parkway
San Mateo
94403-1906
650-312-2000
Records related to its functions as Administrative manager
Franklin Templeton Investor Services, LLC
One Franklin Parkway
San Mateo
94403-1906
650-312-6641
Records related to its functions as Transfer agent
Franklin Templeton Distributors, Inc.
One Franklin Parkway
San Mateo
94403-1906
650-312-2000
Records related to its functions as Principal underwriter
The Bank of New York Mellon
111 Sanders Creek Parkway
East Syracuse
13057
855-231-1706
Records related to its functions as Custodian
Y
N
N-1A
23
Y
Gregory E. Johnson
N/A
Y
Rupert H. Johnson, Jr.
N/A
Y
Edith E. Holiday
N/A
N
John B. Wilson
N/A
N
J. Michael Luttig
N/A
N
Mary C. Choksi
N/A
N
Larry D. Thompson
N/A
N
Harris J. Ashton
N/A
N
Terrence J. Checki
N/A
N
Robert C. Rosselot
N/A
300 S.E. 2nd Street
Fort Lauderdale
33301-1923
XXXXXX
N
N
N
N
N
N
Franklin Templeton Distributors, Inc.
8-5889
000000332
N/A
Y
N
PricewaterhouseCoopers LLP
238
5493002GVO7EO8RNNS37
N
N
N
N
N
N
Franklin Corefolio Allocation Fund
S000007240
549300XTK2PMSEJNWL03
Y
5
0
0
Fund of Funds
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
Franklin Templeton Investor Services, LLC
84-1036
N/A
Y
N
N
N
THE BANK OF NEW YORK MELLON
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
FRANKLIN TEMPLETON INVESTOR SERVICES, LLC
N/A
Y
N
Self - rule 17f-2 (17 CFR 270.17f-2)
N
FRANKLIN TEMPLETON INVESTOR SERVICES, LLC
84-1036
SEC File Number
Y
N
N
Franklin Templeton Services, LLC
549300DFD0POOJZ42788
Y
N
N
Franklin Templeton Distributors, Inc.
8-5889
000000332
N/A
0.00
Franklin Templeton Investment Services, Inc.
8-43206
000027884
N/A
0.00
Franklin Templeton Financial Services Corp.
8-29504
000013594
N/A
0.00
0.00
0.00
N
794109973.00
Committed
2000000000.00000000
N
N
N
N
Franklin Growth Allocation Fund
S000007242
549300LZSV7O3XTZ3R59
Y
5
0
0
Fund of Funds
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
Franklin Advisers, Inc.
801-26292
000104517
B1CG1NRZIDDJ0DQEXB52
N
Franklin Templeton Investor Services, LLC
84-1036
N/A
Y
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Thomson Reuters (Markets) LLC
549300561UZND4C7B569
CA
N
N
Deutsche Bank AG
529900LKVNEX4SG4UD38
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe Plc
N1FBEDJ5J41VKZLO2475
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibanamex
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The HongKong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Argentina
E57ODZWZ7FF32TWEFA76
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hong Kong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Bilbao Vizcaya Argentaria
K8MS7FD7N5Z2WQ51AZ71
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Hong Kong and Shanghai Banking Corporation
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Hongkong and Shanghai Banking Corporation
2HI3YI5320L3RW6NJ957
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS Bank Ltd.
ATUEL7OJR5057F2PV266
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services
549300WCGB70D06XZS54
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
The Standard Bank of South Africa Limited
RILFO74KP1CM8P6PCT96
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of NY Mellon SA/NV Asset Servicing
MMYX0N4ZEZ13Z4XCG897
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of Tokyo-Mitsubishi UFJ Ltd.
N/A
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse AG
549300CWR0W0BCS9Q144
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon SA/NV
529900SEOICVR2VM6Y05
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
RR3QWICWWIPCS8A4S074
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon SA/NV
N/A
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Franklin Templeton Investor Services, LLC
N/A
Y
N
Self - rule 17f-2 (17 CFR 270.17f-2)
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
Franklin Templeton Investor Services, LLC
84-1036
Sec File Number
Y
N
N
Franklin Templeton Services, LLC
549300DFD0POOJZ42788
Y
N
N
Franklin Templeton Distributors, Inc.
8-5889
000000332
N/A
0.00
Franklin Templeton Financial Services Corp.
8-29504
000013594
N/A
0.00
Franklin Templeton Investment Services, Inc.
8-43206
000027884
N/A
0.00
CITIGROUP GLOBAL MARKETS INC
8-8177
000007059
MBNUM2BPBDO7JBLYG310
2321.00
GOLDMAN, SACHS & CO
8-129
000000361
549300K06R9ZUC3UEN80
611.00
JP MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
6964.00
RBC DOMINION SECURITIES INC. (TORONTO)
N/A
N/A
549300QJJX6CVVUXLE15
CA
355.00
JANE STREET
8-52275
000103782
549300HXJLXCPDWAH070
86156.00
CITADEL SEC INST LLC
8-69663
000281102
549300MLQ1S3715IUK04
1316.00
CREDIT SUISSE HOLDINGS (USA) INC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
4639.00
LIQUID NET
8-52461
000103987
213800ZIRB79BE5XQM68
95.00
SUSQUEHANNA FINANCIAL GROUP, LLLP
N/A
N/A
N/A
36729.00
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
130.00
139316.00
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
41540296.08
HSBC SECURITIES (USA) INC.
8-41562
000019585
MP6I5ZYZBEU3UXPYFY54
179165591.25
MERRILL LYNCH PIERCE FENNER & SMITH INC.
8-7221
000007691
B4TYDEB6GKMZO031MB27
2350461.27
BANQUE NATIONALE DE PARIS
8-32682
000015794
R0MUWSFPU8MPRO8K5P83
182432783.35
405489131.95
Y
1299733256
Committed
2000000000.00000000
N
N
N
N
Franklin LifeSmart 2030 Retirement Target Fund
S000041338
549300QZVTYR56VW1065
Y
5
0
0
Fund of Funds
Target Date Fund
N
N
N
N
N/A
N/A
N/A
Rule 22d-1 (17 CFR 270.22d-1)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
Franklin Advisers, Inc.
801-26292
000104517
B1CG1NRZIDDJ0DQEXB52
N
Franklin Templeton Investor Services, LLC
84-1036
N/A
Y
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Thomson Reuters (Markets) LLC
549300561UZND4C7B569
CA
N
N
FRANKLIN TEMPLETON INVESTOR SERVICES LLC
N/A
Y
N
Self - rule 17f-2 (17 CFR 270.17f-2)
THE BANK OF NEW YORK MELLON
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
FRANKLIN TEMPLETON INVESTOR SERVICES, LLC
N/A
Y
N
N
Franklin Templeton Services, LLC
549300DFD0POOJZ42788
Y
N
N
Franklin Templeton Distributors, Inc.
8-5889
000000332
N/A
0
Franklin Templeton Financial Services Corp.
8-29504
000013594
N/A
0
Franklin Templeton Investment Services, Inc.
8-43206
000027884
N/A
0
CITIGROUP GLOBAL MARKETS INC
8-8177
000007059
MBNUM2BPBDO7JBLYG310
112
CITADEL SECURITIES INSTITUTIONAL LLC
8-69663
000281102
549300MLQ1S3715IUK04
303
RBC DOMINION SECURITIES INC.
N/A
N/A
549300QJJX6CVVUXLE15
CA
87
JANE STREET
8-69254
000167280
549300HXJLXCPDWAH070
4838
CREDIT SUISSE HOLDINGS (USA) INC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
1497
KNIGHT EQUITY MARKETS L P
8-48311
000038599
549300RA02N3BNSWBV74
12
JP MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
1235
LIQUID NET
8-52461
000103987
213800ZIRB79BE5XQM68
1
SUSQUEHANNA FINANCIAL GROUP, LLLP
8-44325
000035865
N/A
3061
GOLDMAN SACHS & CO
8-129
000000361
549300K06R9ZUC3UEN80
30
11176.00
BNP PARIBAS SECURITIES CORP.
8-32682
000015794
N/A
2181564.37
HSBC SECURITIES (USA) INC.
8-41562
000019585
MP6I5ZYZBEU3UXPYFY54
1755091.30
MERRILL LYNCH PIERCE FENNER & SMITH INC.
8-7221
000007691
B4TYDEB6GKMZO031MB27
40436.32
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
465518.88
4442610.87
Y
50249656
Committed
2000000000.00000000
N
N
N
N
Franklin LifeSmart 2040 Retirement Target Fund
S000041339
549300TGLGMFFQ6OWJ29
Y
5
0
0
Fund of Funds
Target Date Fund
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
Franklin Advisers, Inc.
801-26292
000104517
B1CG1NRZIDDJ0DQEXB52
N
Franklin Templeton Investor Services, LLC
84-1036
N/A
Y
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Thomson Reuters (Markets) LLC
549300561UZND4C7B569
CA
N
N
FRANKLIN TEMPLETON INVESTOR SERVICES LLC
N/A
Y
N
Self - rule 17f-2 (17 CFR 270.17f-2)
THE BANK OF NEW YORK MELLON
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
FRANKLIN TEMPLETON INVESTOR SERVICES, LLC
84-1036
SEC File Number
Y
N
N
Franklin Templeton Services, LLC
549300DFD0POOJZ42788
Y
N
N
Franklin Templeton Distributors, Inc.
8-5889
000000332
N/A
0
Franklin Templeton Financial Services Corp.
8-29504
000013594
N/A
0
Franklin Templeton Investment Services, Inc.
8-43206
000027884
N/A
0
SUSQUEHANNA FINANCIAL GROUP, LLLP
8-44325
000035865
N/A
2787
JP MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
838
RBC DOMINION SECURITIES INC.
N/A
N/A
549300QJJX6CVVUXLE15
CA
80
CREDIT SUISSE HOLDINGS (USA), INC.
8-422
000000816
1V8Y6QCX6YMJ2OELII46
1377
CITADEL SECURITIES INSTITUTIONAL LLC
8-69663
000281102
549300MLQ1S3715IUK04
101
KNIGHT EQUITY MARKETS L P
8-48311
000038599
549300RA02N3BNSWBV74
3
CITIGROUP GLOBAL MARKETS INC
8-8177
000007059
MBNUM2BPBDO7JBLYG310
90
GOLDMAN SACHS & CO
8-129
000000361
549300K06R9ZUC3UEN80
11
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
5
JANE STREET
8-69254
000167280
549300HXJLXCPDWAH070
3848
9140.00
HSBC SECURITIES (USA) INC.
8-41562
000019585
MP6I5ZYZBEU3UXPYFY54
1050493.17
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
312639.74
MERRILL LYNCH PIERCE FENNER & SMITH INC.
8-7221
000007691
B4TYDEB6GKMZO031MB27
21632.37
BANQUE NATIONALE DE PARIS
8-32682
000015794
R0MUWSFPU8MPRO8K5P83
1360615.04
2745380.32
Y
40636062
Committed
2000000000.00000000
N
N
N
N
Franklin LifeSmart 2020 Retirement Target Fund
S000041337
5493007K7XC7TKMPS670
Y
5
0
0
Fund of Funds
Target Date Fund
N
N
N
N
N/A
N/A
N/A
Rule 22d-1 (17 CFR 270.22d-1)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
Franklin Advisers, Inc.
801-26292
000104517
B1CG1NRZIDDJ0DQEXB52
N
Franklin Templeton Investor Services, LLC
84-1036
N/A
Y
N
N
Thomson Reuters (Markets) LLC
549300561UZND4C7B569
CA
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
N
THE BANK OF NEW YORK MELLON
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
FRANKLIN TEMPLETON INVESTOR SERVICES LLC
N/A
Y
N
Self - rule 17f-2 (17 CFR 270.17f-2)
N
FRANKLIN TEMPLETON INVESTOR SERVICES, LLC
84-1036
SEC File Number
Y
N
N
Franklin Templeton Services, LLC
549300DFD0POOJZ42788
Y
N
N
Franklin Templeton Distributors, Inc.
8-5889
000000332
N/A
0
Franklin Templeton Financial Services Corp.
8-29504
000013594
N/A
0
Franklin Templeton Investment Services, Inc.
8-43206
000027884
N/A
0
SUSQUEHANNA FINANCIAL GROUP, LLLP
8-44325
000035865
N/A
1816
CREDIT SUISSE HOLDINGS (USA) INC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
905
GOLDMAN SACHS & CO
8-129
000000361
549300K06R9ZUC3UEN80
26
JP MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
1195
JANE STREET
8-69254
000167280
549300HXJLXCPDWAH070
2694
RBC DOMINION SECURITIES INC.
N/A
N/A
549300QJJX6CVVUXLE15
CA
160
KNIGHT EQUITY MARKETS L P
8-48311
000038599
549300RA02N3BNSWBV74
18
CITADEL SECURITIES INSTITUTIONAL LLC
8-69663
000281102
N/A
89
CITIGROUP GLOBAL MARKETS INC
8-8177
000007059
MBNUM2BPBDO7JBLYG310
52
6955.00
HSBC SECURITIES (USA) INC
8-41562
000019585
MP6I5ZYZBEU3UXPYFY54
2297104.02
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
673634.24
BNP PARIBAS SECURITIES CORP.
8-32682
000015794
N/A
3139513.74
MERRILL LYNCH PIERCE FENNER & SMITH INC.
8-7221
000007691
B4TYDEB6GKMZO031MB27
131790.56
6242042.56
Y
39960411
Committed
2000000000.00000000
N
N
N
N
Franklin Founding Funds Allocation Fund
S000007241
549300R05BQMM0PJVZ25
Y
5
0
0
Fund of Funds
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
Franklin Templeton Investor Services, LLC
84-1036
N/A
Y
N
N
N
THE BANK OF NEW YORK MELLON
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
FRANKLIN TEMPLETON INVESTOR SERVICES, LLC
N/A
Y
N
Self - rule 17f-2 (17 CFR 270.17f-2)
N
FRANKLIN TEMPLETON INVESTOR SERVICES, LLC
84-1036
SEC File Number
Y
N
N
Franklin Templeton Services, LLC
549300DFD0POOJZ42788
Y
N
N
Franklin Templeton Distributors, Inc.
8-5889
000000332
N/A
0.00
Franklin Templeton Financial Services Corp.
8-29504
000013594
N/A
0.00
Franklin Templeton Investment Services, Inc.
8-43206
000027884
N/A
0.00
0.00
0.00
N
4389885907.00
Committed
2000000000.00000000
N
N
N
N
Franklin LifeSmart Retirement Income Fund
S000012937
549300Y7RTL4JFWBLW93
Y
5
0
0
Fund of Funds
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
Franklin Advisers, Inc.
801-26292
000104517
B1CG1NRZIDDJ0DQEXB52
N
Franklin Templeton Investor Services, LLC
84-1036
N/A
Y
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Thomson Reuters (Markets) LLC
549300561UZND4C7B569
CA
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFUK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Franklin Templeton Investor Services, LLC
N/A
Y
N
Self - rule 17f-2 (17 CFR 270.17f-2)
N
Franklin Templeton Investor Services, LLC
84-1036
Sec File Number
Y
N
N
Franklin Templeton Services, LLC
5493000DFD0POOJZ42788
Y
N
N
Franklin Templeton Distributors, Inc.
8-5889
000000332
N/A
0
Franklin Templeton Investment Services, Inc.
8-43206
000027884
N/A
0
Franklin Templeton Financial Service Corp.
8-29504
000013594
N/A
0
JANE STREET
8-52275
000103782
549300HXJLXCPDWAH070
4256
JP MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
2482
RBC DOMINION SECURITIES INC.
N/A
N/A
549300QJJX6CVVUXLE15
2028
8766.00
MORGAN STANLEY & CO INC.
8-15869
000008209
I7331LVCZKQKX5T7XV54
2784390
2784390.00
Y
130687811
Committed
2000000000.00000000
N
N
N
N
Franklin LifeSmart 2045 Retirement Target Fund
S000012940
549300CLLTKGI11DYB24
Y
5
0
0
Fund of Funds
Target Date Fund
N
N
N
N
N/A
N/A
N/A
Rule 22d-1 (17 CFR 270.22d-1)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
Franklin Advisers, Inc.
801-26292
000104517
B1CG1NRZIDDJ0DQEXB52
N
Franklin Templeton Investor Services, LLC
84-1036
N/A
Y
N
N
Thomson Reuters (Markets) LLC
549300561UZND4C7B569
CA
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
FRANKLIN TEMPLETON INVESTOR SERVICES LLC
N/A
Y
N
Self - rule 17f-2 (17 CFR 270.17f-2)
N
Franklin Templeton Investor Services, LLC
84-1036
SEC File Number
Y
N
N
Franklin Templeton Services, LLC
549300DFD0POOJZ42788
Y
N
N
Franklin Templeton Distributors, Inc.
8-5889
000000332
N/A
0
Franklin Templeton Financial Services Corp.
8-29504
000013594
N/A
0
Franklin Templeton Investment Services, Inc.
8-43206
000027884
N/A
0
KNIGHT EQUITY MARKETS L P
8-48311
000038599
549300RA02N3BNSWBV74
5
CITADEL SECURITIES INSTITUTIONAL LLC
8-69663
000281102
549300MLQ1S3715IUK04
61
CREDIT SUISSE HOLDINGS (USA) INC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
2484
GOLDMAN SACHS & CO
8-129
000000361
549300K06R9ZUC3UEN80
34
RBC DOMINION SECURITIES INC.
N/A
N/A
549300QJJX6CVVUXLE15
CA
153
CITIGROUP GLOBAL MARKETS INC
8-8177
000007059
MBNUM2BPBDO7JBLYG310
195
SUSQUEHANNA FINANCIAL GROUP, LLLP
8-44325
000035865
N/A
5045
JP MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
1237
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
10
JANE STREET
8-69254
000167280
549300HXJLXCPDWAH070
8065
17289.00
HSBC SECURITIES (USA) INC.
8-41562
000019585
MP6I5ZYZBEU3UXPYFY54
3226429.29
BANQUE NATIONALE DE PARIS
8-32682
000015794
R0MUWSFPU8MPRO8K5P83
4683407.41
MERRILL LYNCH PIERCE FENNER & SMITH INC.
8-7221
000007691
B4TYDEB6GKMZO031MB27
52160.37
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
1036185.07
8998182.14
Y
81814063
Committed
2000000000.00000000
N
N
N
N
Franklin LifeSmart 2025 Retirement Target Fund
S000012938
5493008D40YZ7G26GX52
Y
5
0
0
Fund of Funds
Target Date Fund
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
Franklin Advisers, Inc.
801-26292
000104517
B1CG1NRZIDDJ0DQEXB52
N
Franklin Templeton Investor Services, LLC
84-1036
N/A
Y
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Thomson Reuters (Markets) LLC
549300561UZND4C7B569
CA
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFUK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
FRANKLIN TEMPLETON INVESTOR SERVICES LLC
N/A
Y
N
Self - rule 17f-2 (17 CFR 270.17f-2)
N
Franklin Templeton Investor Services, LLC
84-1036
Sec File Number
Y
N
N
Franklin Templeton Services, LLC
5493000DFD0POOJZ42788
Y
N
N
Franklin Templeton Distributors, Inc.
8-5889
000000332
N/A
0
Franklin Templeton Financial Service Corp.
8-29504
000013594
N/A
0
Franklin Templeton Investment Services, Inc.
8-43206
000027884
N/A
0
JANE STREET
8-52275
000103782
549300HXJLXCPDWAH070
11167
CREDIT SUISSE HOLDINGS (USA), INC.
8-422
000000816
1V8Y6QCX6YMJ2OELII46
3407
GOLDMAN SACHS & CO
8-129
000000361
549300K06R9ZUC3UEN80
112
SUSQUEHANNA FINANCIAL GROUP, LLLP
N/A
N/A
N/A
6860
CITIGROUP GLOBAL MARKETS INC
8-8177
000007059
MBNUM2BPBDO7JBLYG310
247
KNIGHT EQUITY MARKETS L P
8-48311
000038599
549300RA02N3BNSWBV74
23
JP MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
2939
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
8
RBC DOMINION SECURITIES INC.
N/A
N/A
549300QJJX6CVVUXLE15
515
CITADEL SECURITIES INSTITUTIONAL LLC
8-69663
000281102
549300MLQ1S3715IUK04
194
25473.00
BNP PARIBAS SECURITIES CORP.
8-32682
000015794
N/A
9998839.21
MERRILL LYNCH PIERCE FENNER & SMITH INC.
8-7221
000007691
B4TYDEB6GKMZO031MB27
84999.10
HSBC SECURITIES (USA) INC.
8-41562
000019585
MP6I5ZYZBEU3UXPYFY54
7267005.78
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
2089871.47
19440715.56
Y
130687811
Committed
2000000000.00000000
N
N
N
N
Franklin LifeSmart 2035 Retirement Target Fund
S000012939
549300I6H6EMUM44S480
Y
5
0
0
Fund of Funds
Target Date Fund
N
N
N
N
N/A
N/A
N/A
Rule 22d-1 (17 CFR 270.22d-1)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
Franklin Advisers, Inc.
801-26292
000104517
B1CG1NRZIDDJ0DQEXB52
N
Franklin Templeton Investor Services, LLC
84-1036
N/A
Y
N
N
Thomson Reuters (Markets) LLC
549300561UZND4C7B569
CA
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
N
The Bank of New York Mellon
HPFHU0OQ28E4N0NFUK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Franklin Templeton Investor Services, LLC
N/A
Y
N
Self - rule 17f-2 (17 CFR 270.17f-2)
N
Franklin Templeton Investor Services, LLC
84-1036
Sec File Number
Y
N
N
Franklin Templeton Services, LLC
5493000DFD0POOJZ42788
Y
N
N
Franklin Templeton Distributors, Inc.
8-5889
000000332
N/A
0
Franklin Templeton Investment Services, Inc.
8-43206
000027884
N/A
0
Franklin Templeton Financial Service Corp.
8-29504
000013594
N/A
0
GOLDMAN SACHS & CO
8-129
000000361
549300K06R9ZUC3UEN80
79
KNIGHT EQUITY MARKETS L P
8-48311
000038599
549300RA02N3BNSWBV74
20
CREDIT SUISSE HOLDINGS (USA), INC.
8-422
000000816
1V8Y6QCX6YMJ2OELII46
3477
SUSQUEHANNA FINANCIAL GROUP, LLLP
N/A
N/A
N/A
7056
CITADEL SECURITIES INSTITUTIONAL LLC
8-69663
000281102
549300MLQ1S3715IUK04
201
JP MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
2187
CITIGROUP GLOBAL MARKETS INC
8-8177
000007059
MBNUM2BPBDO7JBLYG310
281
JANE STREET
8-52275
000103782
549300HXJLXCPDWAH070
10994
RBC DOMINION SECURITIES INC.
N/A
N/A
549300QJJX6CVVUXLE15
218
24513.00
HSBC SECURITIES (USA) INC
8-41562
000019585
MP6I5ZYZBEU3UXPYFY54
4641434.64
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
1436865.37
BNP PARIBAS SECURITIES CORP
8-32682
000015794
N/A
6674647.29
MERRILL LYNCH PIERCE FENNER & SMITH INC.
8-7221
000007691
B4TYDEB6GKMZO031MB27
71805.33
12824752.63
Y
116546950
Committed
2000000000.00000000
N
N
N
N
Franklin LifeSmart 2055 Retirement Target Fund
S000049109
549300ROOW6K1C9DJW95
Y
5
0
0
Fund of Funds
Target Date Fund
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
Franklin Advisers, Inc.
801-26292
000104517
B1CG1NRZIDDJ0DQEXB52
N
Franklin Templeton Investor Services, LLC
84-1036
N/A
Y
N
N
Thomson Reuters (Markets) LLC
549300561UZND4C7B569
CA
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
N
FRANKLIN TEMPLETON INVESTOR SERVICES LLC
N/A
Y
N
Self - rule 17f-2 (17 CFR 270.17f-2)
THE BANK OF NEW YORK MELLON
HPFHU0OQ28E4N0NFUK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
FRANKLIN TEMPLETON INVESTOR SERVICES, LLC
84-1036
Sec File Number
Y
N
N
Franklin Templeton Services, LLC
5493000DFD0POOJZ42788
Y
N
N
Franklin Templeton Distributors, Inc.
8-5889
000000332
N/A
0
Franklin Templeton Investment Services, Inc.
8-43206
000027884
N/A
0
Franklin Templeton Financial Service Corp.
8-29504
000013594
N/A
0
CITIGROUP GLOBAL MARKETS INC
8-8177
000007059
MBNUM2BPBDO7JBLYG310
19
CITADEL SECURITIES INSTITUTIONAL LLC
8-69663
000281102
549300MLQ1S3715IUK04
30
JANE STREET
8-69254
000167280
549300HXJLXCPDWAH070
1457
SUSQUEHANNA FINANCIAL GROUP, LLLP
8-44325
000035865
N/A
1076
CREDIT SUISSE HOLDINGS (USA), INC.
8-422
000000816
1V8Y6QCX6YMJ2OELII46
501
JP MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
380
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
2
KNIGHT EQUITY MARKETS L P
8-48311
000038599
549300RA02N3BNSWBV74
2
RBC DOMINION SECURITIES INC.
N/A
N/A
549300QJJX6CVVUXLE15
CA
23
3490.00
0.00
Y
11801140
Committed
2000000000.00000000
N
N
N
N
Franklin Conservative Allocation Fund
S000007239
549300ZTESQD8YCQQX12
Y
5
0
0
Fund of Funds
N
N
N
N
N/A
N/A
N/A
Rule 22d-1 (17 CFR 270.22d-1)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
Franklin Advisers, Inc.
801-26292
000104517
B1CG1NRZIDDJ0DQEXB52
N
Franklin Templeton Investor Services, LLC
84-1036
N/A
Y
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Thomson Reuters (Markets) LLC
549300561UZND4C7B569
CA
N
N
Hongkong and Shanghai Banking Corporation
2HI3YI5320L3RW6NJ957
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
RR3QWICWWIPCS8A4S074
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Franklin Templeton Investor Services, LLC
N/A
Y
N
Self - rule 17f-2 (17 CFR 270.17f-2)
Euroclear Bank
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibanamex
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Hong Kong and Shanghai Banking Corporation
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services
549300WCGB70D06XZS54
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of NY Mellon SA/NV Asset Servicing
MMYX0N4ZEZ13Z4XCG897
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Bilbao Vizcaya Argentaria
K8MS7FD7N5Z2WQ51AZ71
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Bank of South Africa
RILFO74KP1CM8P6PCT96
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The HongKong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Credit Suisse AG
549300CWR0W0BCS9Q144
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe Plc
N1FBEDJ5J41VKZLO2475
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
BNP Paribas Securities Services
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hong Kong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of Tokyo-Mitsubishi UFJ Ltd.
N/A
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
529900LKVNEX4SG4UD38
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon SA/NV
N/A
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon SA/NV
529900SEOICVR2VM6Y05
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Argentina
E57ODZWZ7FF32TWEFA76
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS Bank Ltd.
ATUEL7OJR5057F2PV266
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
Franklin Templeton Investor Services, LLC
84-1036
SEC File Number
Y
N
N
Franklin Templeton Services, LLC
549300DFD0POOJZ42788
Y
N
N
Franklin Templeton Distributors, Inc.
8-5889
000000332
N/A
0.00
Franklin Templeton Investment Services, Inc.
8-43206
000027884
N/A
0.00
Franklin Templeton Financial Services Corp.
8-29504
000013594
N/A
0.00
SUSQUEHANNA FINANCIAL GROUP, LLLP
N/A
N/A
N/A
24251.00
CITADEL SEC INST LLC
8-69663
000281102
549300MLQ1S3715IUK04
2291.00
JANE STREET
8-52275
000103782
549300HXJLXCPDWAH070
55850.00
LIQUID NET
8-52461
000103987
213800ZIRB79BE5XQM68
125.00
GOLDMAN SACHS & CO
8-129
000000361
549300K06R9ZUC3UEN80
728.00
JP MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
9127.00
RBC DOMINION SECURITIES INC.
N/A
N/A
549300QJJX6CVVUXLE15
CA
475.00
CITIGROUP GLOBAL MARKETS INC
8-8177
000007059
MBNUM2BPBDO7JBLYG310
1354.00
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
70.00
CREDIT SUISSE HOLDINGS (USA) INC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
6200.00
100471.00
MERRILL LYNCH PIERCE FENNER & SMITH INC.
8-7221
000007691
B4TYDEB6GKMZO031MB27
2628889.25
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
35611170.81
HSBC SECURITIES (USA) INC.
8-41562
000019585
MP6I5ZYZBEU3UXPYFY54
150506389.66
BANQUE NATIONALE DE PARIS
8-32682
000015794
R0MUWSFPU8MPRO8K5P83
153094002.30
341840452.02
Y
1313842960
Committed
2000000000.00000000
N
N
N
N
Franklin Moderate Allocation Fund
S000007243
549300N3RVYB1HJAT682
Y
5
0
0
Fund of Funds
N
N
N
N
N/A
N/A
N/A
Rule 22d-1 (17 CFR 270.22d-1)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
Franklin Advisers, Inc.
801-26292
000104517
B1CG1NRZIDDJ0DQEXB52
N
Franklin Templeton Investor Services, LLC
84-1036
N/A
Y
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Thomson Reuters (Markets) LLC
549300561UZND4C7B569
CA
N
N
Skandinaviska Enskilda Banken AB
F3JS33DEI6XQ4ZBPTN86
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Argentina
E57ODZWZ7FF32TWEFA76
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Bilbao Vizcaya Argentaria
K8MS7FD7N5Z2WQ51AZ71
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hong Kong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibanamex
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe Plc
N1FBEDJ5J41VKZLO2475
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Hong Kong and Shanghai Banking Corporation
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Austria AG
D1HEB8VEU6D9M8ZUXG17
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Skandinaviska Enskilda Banken
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Hongkong and Shanghai Banking Corporation
2HI3YI5320L3RW6NJ957
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Franklin Templeton Investor Services, LLC
N/A
Y
N
Self - rule 17f-2 (17 CFR 270.17f-2)
The Bank of New York Mellon SA/NV
N/A
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Standard Bank of South Africa Limited
RILFO74KP1CM8P6PCT96
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS Bank Ltd.
ATUEL7OJR5057F2PV266
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Skandinaviska Enskilda Banken
F3JS33DEI6XQ4ZBPTN86
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank AG
529900LKVNEX4SG4UD38
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of Tokyo-Mitsubishi UFJ Ltd.
N/A
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
RR3QWICWWIPCS8A4S074
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services
549300WCGB70D06XZS54
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The HongKong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of NY Mellon SA/NV Asset Servicing
MMYX0N4ZEZ13Z4XCG897
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
Franklin Templeton Investor Services, LLC
84-1036
Sec File Number
Y
N
N
Franklin Templeton Services, LLC
549300DFD0POOJZ42788
Y
N
N
Franklin Templeton Distributors, Inc.
8-5889
000000332
N/A
0.00
Franklin Templeton Financial Services Corp.
8-29504
000013594
N/A
0.00
Franklin Templeton Investment Services, Inc.
8-43206
000027884
N/A
0.00
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
190.00
GOLDMAN SACHS & CO
8-129
000000361
549300K06R9ZUC3UEN80
1208.00
CITADEL SEC INST LLC
8-69663
000281102
549300MLQ1S3715IUK04
3624.00
JP MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
13983.00
JANE STREET
8-52275
000103782
549300HXJLXCPDWAH070
114593.00
SUSQUEHANNA FINANCIAL GROUP, LLLP
N/A
N/A
N/A
49731.00
RBC DOMINION SECURITIES INC.
N/A
N/A
549300QJJX6CVVUXLE15
CA
653.00
LIQUID NET
8-52461
000103987
213800ZIRB79BE5XQM68
175.00
CREDIT SUISSE HOLDINGS (USA) INC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
10055.00
CITIGROUP GLOBAL MARKETS INC
8-8177
000007059
MBNUM2BPBDO7JBLYG310
2936.00
197160.00
HSBC SECURITIES (USA) INC.
8-41562
000019585
MP6I5ZYZBEU3UXPYFY54
246590066.88
MERRILL LYNCH PIERCE FENNER & SMITH INC.
8-7221
000007691
B4TYDEB6GKMZO031MB27
3838048.36
BANQUE NATIONALE DE PARIS
8-32682
000015794
R0MUWSFPU8MPRO8K5P83
255469765.90
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
58240174.97
564138056.11
Y
2067934117
Committed
2000000000.00000000
N
N
N
N
Franklin LifeSmart 2050 Retirement Target Fund
S000041340
54930064WJFTYF0DEP50
Y
5
0
0
Fund of Funds
Target Date Fund
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Rule 22d-1 (17 CFR 270.22d-1)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
Franklin Advisers, Inc.
801-26292
000104517
B1CG1NRZIDDJ0DQEXB52
N
Franklin Templeton Investor Services, LLC
84-1036
N/A
Y
N
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Thomson Reuters (Markets) LLC
549300561UZND4C7B569
CA
N
N
THE BANK OF NEW YORK MELLON
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
FRANKLIN TEMPLETON INVESTOR SERVICES LLC
N/A
Y
N
Self - rule 17f-2 (17 CFR 270.17f-2)
N
Franklin Templeton Investor Services, LLC
84-1036
SEC File Number
Y
N
N
Franklin Templeton Services, LLC
549300DFD0POOJZ42788
Y
N
N
Franklin Templeton Distributors, Inc.
8-5889
000000332
N/A
0
Franklin Templeton Financial Services Corp.
8-29504
000013594
N/A
0
Franklin Templeton Investment Services, Inc.
8-43206
000027884
N/A
0
GOLDMAN SACHS & CO
8-129
000000361
549300K06R9ZUC3UEN80
11
CITADEL SECURITIES INSTITUTIONAL LLC
8-69663
000281102
549300MLQ1S3715IUK04
124
KNIGHT EQUITY MARKETS L P
8-48311
000038599
549300RA02N3BNSWBV74
23
RBC DOMINION SECURITIES INC.
N/A
N/A
549300QJJX6CVVUXLE15
CA
55
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
7
CREDIT SUISSE HOLDINGS (USA) INC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
1239
JANE STREET
8-69254
000167280
549300HXJLXCPDWAH070
3757
JP MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
842
CITIGROUP GLOBAL MARKETS INC
8-8177
000007059
MBNUM2BPBDO7JBLYG310
71
SUSQUEHANNA FINANCIAL GROUP, LLLP
8-44325
000035865
N/A
2571
8700.00
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
395639.14
HSBC SECURITIES (USA) INC
8-41562
000019585
MP6I5ZYZBEU3UXPYFY54
1128698.33
MERRILL LYNCH PIERCE FENNER & SMITH INC.
8-7221
000007691
B4TYDEB6GKMZO031MB27
8776.89
BANQUE NATIONALE DE PARIS
8-32682
000015794
R0MUWSFPU8MPRO8K5P83
1393613.12
2926727.48
Y
34901790
Committed
2000000000.00000000
N
N
N
N
false
false
true
false
true
false
EXEMPT ORDER INFO
2
IC-15534_dvcr5f4f.txt
IC-15534
SEC Releases, In the Matter of Age High Income Fund, Inc., et al.,
777 Mariners Island Boulevard, San Mateo, CA 94404, Securities and
Exchange Commission, (Jan. 13, 1987)
SEC Releases
Click to open document in a browser
37 SEC-DOCKET 569-02
Release No. IC-15534
File No. 812-6505
January 13, 1987
ORDER PERMITTING JOINT TRADING ACCOUNTS
AGE High Income Fund, Inc; Birr, Wilson Money Fund; Franklin
California Tax-Free Income Fund, Inc.; Franklin New York Tax-Free
Income Fund, Inc; Franklin California Tax-Free Trust; Franklin
Tax-Free Trust; Franklin Corporate Cash Management Fund; Franklin
Custodian Funds, Inc; Franklin Equity Fund; Franklin Federal Money
Fund; Franklin Federal Tax-Free Income Fund; Franklin Gold Fund;
Franklin Money Fund; Franklin Option Fund; Franklin Tax-Exempt Money
Fund; Franklin New York Tax-Exempt Money Fund; Franklin
Pennsylvania Investors Fund; and Institutional Fiduciary Trust
("Funds") and Franklin Advisers, Inc., filed an application on
October 17, 1986, and an amendment thereto on November 24,
1986, requesting an order of the Commission under Section 17(d)
of the Investment Company Act of 1940 ("Act") and Rule 17d-1
thereunder to permit the Funds, as well as future investment
companies for which subsidiaries or affiliates of Franklin
Resources, Inc. serve as investment managers, to deposit
their cash balances remaining uninvested at the end of each
trading day into a single joint account whose daily balance
would be used to enter into one or more repurchase agreements
in a total amount equal to the aggregate daily balance in
the account ("Joint Accounts").
On December 17, 1986, a notice was issued (Investment Company
Act Release No. 15485) of the filing of the application. The
notice gave interested persons an opportunity to request a
hearing and stated that an order disposing of the application
would be issued as of course unless a hearing should be ordered.
No request for a hearing has been filed, and the Commission has
not ordered a hearing.
The matter having been considered, it is found that the
participation of the Funds in the Joint Accounts is consistent
with the provisions, policies and purposes of the Act and that
their participation in the Joint Accounts is not on a basis less
advantageous than that of any other participant. Accordingly,
IT IS ORDERED, pursuant to Section 17(d) of the Act and Rule 17d-1
thereunder that the application to permit the Funds to participate
in the Joint Accounts as described in the application, be, and
hereby is granted, effective forthwith.
For the Commission, by the Division of Investment Management,
under delegated authority.
Jonathan G. Katz
Secretary
EXEMPT ORDER INFO
3
IC-32722_21iprtis.txt
IC-32722
UNITED STATES OF AMERICA
BEFORE THE
SECURITIES AND EXCHANGE COMMISSION
INVESTMENT COMPANY ACT OF 1940
Release no. 32722/July 3, 2017
________________________________________________
In the Matter of :
:
Franklin Fund Allocator Series :
Franklin Advisers, Inc. :
Franklin Templeton Distributors, Inc. :
:
One Franklin Parkway :
San Mateo, CA 94403 :
:
(812-14611) :
________________________________________________:
ORDER UNDER SECTION 12(d)(1)(J) OF THE INVESTMENT COMPANY ACT OF
1940 GRANTING AN EXEMPTION FROM SECTIONS 12(d)(1)(A), (B), AND
(C) OF THE ACT, UNDER SECTIONS 6(c) AND 17(b) OF THE ACT
GRANTING AN EXEMPTION FROM SECTION 17(a) OF THE ACT, AND UNDER
SECTION 6(C) OF THE ACT FOR AN EXEMPTION FROM RULE 12d1-2(a)
UNDER THE ACT
Franklin Fund Allocator Series, Franklin Advisers, Inc., and
Franklin Templeton Distributors, Inc. filed an application
on February 9, 2016, and an amendment to the application on
May 23, 2017, requesting an order under section 12(d)(1)(J)
of the Investment Company Act of 1940 (the "Act") granting
an exemption from sections 12(d)(1)(A), (B), and (C) of the
Act, under sections 6(c) and 17(b) of the Act granting an
exemption from section 17(a) of the Act, and under section
6(c) of the Act for an exemption from rule 12d1-2(a) under
the Act. The order would permit (a) certain registered open-end
management investment companies that operate as "funds of funds"
to acquire shares of certain registered open-end management
investment companies, registered closed-end management investment
companies, "business development companies," as defined by section
2(a)(48) of the Act, and registered unit investment trusts that
are within and outside the same group of investment companies as
the acquiring investment companies and (b) certain registered
open-end management investment companies relying on rule 12d1-2
under the Act to invest in certain financial instruments.
On June 5, 2017, a notice of the filing of the application was
issued (Investment Company Act Release No. 32669). The notice
gave interested persons an opportunity to request a hearing
and stated that an order granting the application would be
issued unless a hearing was ordered. No request for a hearing
has been filed, and the Commission has not ordered a hearing.
2
The matter has been considered and it is found, on the basis
of the information set forth in the application, as amended,
that granting the requested exemption is appropriate in and
consistent with the public interest and consistent with the
protection of investors and the purposes fairly intended by
the policy and provisions of the Act.
It is also found that the terms of the proposed transactions
are reasonable and fair and do not involve overreaching, and
the proposed transactions are consistent with the policies of
each registered investment company concerned and with the
general purposes of the Act.
Accordingly,
IT IS ORDERED, that the relief requested under section 12(d)(1)(J)
of the Act from sections 12(d)(1)(A), (B), and (C) of the Act,
under sections 6(c) and 17(b) of the Act from section 17(a) of
the Act, and under section 6(c) of the Act for an exemption from
rule 12d1-2(a) under the Act by Franklin Fund Allocator Series,
et al. (File No. 812-14611) is granted, effective immediately,
subject to the conditions contained in the application, as amended.
For the Commission, by the Division of Investment Management,
under delegated authority.
Eduardo Aleman
Assistant Secretary
EXEMPT ORDER INFO
4
IC-30698_du3bqsm3.txt
IC-30698
UNITED STATES OF AMERICA
BEFORE THE
SECURITIES AND EXCHANGE COMMISSION
INVESTMENT COMPANY ACT OF 1940 Release No. 30698 / September 24,
2013
In the Matter of
FRANKLIN TEMPLETON INTERNATIONAL TRUST FRANKLIN TEMPLETON VARIABLE
INSURANCE PRODUCTS
TRUST
TEMPLETON INCOME TRUST
TEMPLETON GLOBAL INVESTMENT TRUST FRANKLIN ALTERNATIVE STRATEGIES
FUNDS
K2/D&S MANAGEMENT CO., L.L.C. TEMPLETON ASSET MANAGEMENT LTD.
FRANKLIN ADVISERS, INC. One Franklin Parkway
San Mateo, CA 94403-1906
(File No. 812-14167)
ORDER UNDER SECTION 6(c) OF THE INVESTMENT COMPANY ACT OF 1940
GRANTING AN EXEMPTION FROM SECTION 15(a) OF THE ACT AND RULE 18f-2
UNDER THE ACT AND CERTAIN DISCLOSURE REQUIREMENTS
Franklin Templeton International Trust, Franklin Templeton Variable
Insurance Products Trust,
Templeton Income Trust, Templeton Global Investment Trust, Franklin
Alternative Strategies
Funds, K2/D&S Management Co., L.L.C., Templeton Asset Management
Ltd., and Franklin
Advisers, Inc. filed an application on June 13, 2013, and an
amendment
to the application on
August 27, 2013, requesting an order under section 6(c) of the
Investment Company Act of 1940
(the "Act") for an exemption from section 15(a) of the Act and
rule 18f-2 under the Act, as well
as from certain disclosure requirements. The order supersedes a
prior order1 and permits
applicants to enter into and materially amend subadvisory agreements
without shareholder
approval and also grants relief from certain disclosure
requirements.
1 Franklin Advisers, Inc. and Franklin Templeton International
Trust, Investment Company Act Release Nos.
30105 (Jun. 18, 2012) (notice) and 30138 (Jul. 17, 2012) (order).
2
On August 27, 2013, a notice of the filing of the application was
issued (Investment Company
Act Release No. 30679. The notice gave interested persons an
opportunity to request a hearing
and stated that an order granting the application would be issued
unless a hearing was ordered.
No request for a hearing has been filed, and the Commission has
not ordered a hearing.
The matter has been considered and it is found, on the basis of
the information set forth in the
application, as amended, that granting the requested exemption is
appropriate in the public
interest and consistent with the protection of investors and the
purposes fairly intended by the
policy and provisions of the Act.
Accordingly,
IT IS ORDERED, under section 6(c) of the Act, that the relief
requested by Franklin Templeton
International Trust, et al. (File No. 812-14167) is granted,
effective immediately, subject to the
conditions contained in the application, as amended.
For the Commission, by the Division of Investment Management,
under delegated authority.
Kevin M. O'Neill
Deputy Secretary
EXEMPT ORDER INFO
5
IC-33117_ezt0u54b.txt
IC-33117
UNITED STATES OF AMERICA
BEFORE THE
SECURITIES AND EXCHANGE COMMISSION
INVESTMENT COMPANY ACT OF 1940
Release No. 33117 / June 5, 2018
__________________________________________________________________
In the Matter of :
:
FRANKLIN ALTERNATIVE STRATEGIES FUNDS :
FRANKLIN CALIFORNIA TAX-FREE INCOME FUND :
FRANKLIN CALIFORNIA TAX-FREE TRUST :
FRANKLIN CUSTODIAN FUNDS :
FRANKLIN ETF TRUST :
FRANKLIN FEDERAL TAX-FREE INCOME FUND :
FRANKLIN FLOATING RATE MASTER TRUST :
FRANKLIN FUND ALLOCATOR SERIES :
FRANKLIN GLOBAL TRUST :
FRANKLIN GOLD AND PRECIOUS METALS FUND :
FRANKLIN HIGH INCOME TRUST :
FRANKLIN INVESTORS SECURITIES TRUST :
FRANKLIN MANAGED TRUST :
FRANKLIN U.S. GOVERNMENT MONEY FUND :
FRANKLIN MUNICIPAL SECURITIES TRUST :
FRANKLIN MUTUAL SERIES FUNDS :
FRANKLIN NEW YORK TAX-FREE INCOME FUND :
FRANKLIN NEW YORK TAX-FREE TRUST :
FRANKLIN REAL ESTATE SECURITIES TRUST :
FRANKLIN STRATEGIC MORTGAGE PORTFOLIO :
FRANKLIN STRATEGIC SERIES :
FRANKLIN TAX-FREE TRUST :
FRANKLIN TEMPLETON ETF TRUST :
FRANKLIN TEMPLETON GLOBAL TRUST :
FRANKLIN TEMPLETON INTERNATIONAL TRUST :
FRANKLIN TEMPLETON MONEY FUND TRUST :
FRANKLIN TEMPLETON VARIABLE INSURANCE PRODUCTS TRUST :
FRANKLIN VALUE INVESTORS TRUST :
INSTITUTIONAL FIDUCIARY TRUST :
TEMPLETON CHINA WORLD FUND :
TEMPLETON DEVELOPING MARKETS TRUST :
TEMPLETON FUNDS :
TEMPLETON GLOBAL INVESTMENT TRUST :
TEMPLETON GLOBAL OPPORTUNITIES TRUST :
TEMPLETON GLOBAL SMALLER COMPANIES FUND :
TEMPLETON GROWTH FUND, INC. :
TEMPLETON INCOME TRUST :
TEMPLETON INSTITUTIONAL FUNDS :
THE MONEY MARKET PORTFOLIOS :
FRANKLIN LIMITED DURATION INCOME TRUST :
2
FRANKLIN UNIVERSAL TRUST :
TEMPLETON DRAGON FUND, INC. :
TEMPLETON EMERGING MARKETS FUND :
TEMPLETON EMERGING MARKETS INCOME FUND :
TEMPLETON GLOBAL INCOME FUND :
FRANKLIN ADVISERS, INC. :
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED :
K2/D&S MANAGEMENT CO., L.L.C. :
FASA LLC :
FRANKLIN TEMPLETON INSTITUTIONAL, LLC :
FRANKLIN ADVISORY SERVICES, LLC :
FRANKLIN MUTUAL ADVISERS, LLC :
TEMPLETON INVESTMENT COUNSEL, LLC :
TEMPLETON ASSET MANAGEMENT LTD. :
TEMPLETON GLOBAL ADVISORS LIMITED :
:
One Franklin Parkway :
San Mateo, CA 94403 :
:
(812-14819) :
__________________________________________________________________:
ORDER UNDER SECTION 6(c) OF THE INVESTMENT COMPANY ACT OF 1940
GRANTING AN EXEMPTION FROM SECTIONS 18(f) AND 21(b) OF THE ACT;
UNDER
SECTION 12(d)(1)(J) OF THE ACT GRANTING AN EXEMPTION FROM SECTION
12(d)(1) OF THE ACT; UNDER SECTIONS 6(c) AND 17(b) OF THE ACT
GRANTING AN
EXEMPTION FROM SECTIONS 17(a)(1), 17(a)(2), AND 17(a)(3) OF THE
ACT; AND
UNDER SECTION 17(d) OF THE ACT AND RULE 17d-1 UNDER THE ACT TO
PERMIT
CERTAIN JOINT ARRANGEMENTS AND TRANSACTIONS
Franklin Alternative Strategies Funds, Franklin California Tax-Free
Income Fund, Franklin
California Tax-Free Trust, Franklin Custodian Funds, Franklin ETF
Trust, Franklin Federal Tax-
Free Income Fund, Franklin Floating Rate Master Trust, Franklin Fund
Allocator Series, Franklin
Global Trust, Franklin Gold and Precious Metals Fund, Franklin High
Income Trust, Franklin
Investors Securities Trust, Franklin Managed Trust, Franklin U.S.
Government Money Fund,
Franklin Municipal Securities Trust, Franklin Mutual Series Funds,
Franklin New York Tax-Free
Income Fund, Franklin New York Tax-Free Trust, Franklin Real Estate
Securities Trust, Franklin
Strategic Mortgage Portfolio, Franklin Strategic Series, Franklin
Tax-Free Trust, Franklin
Templeton ETF Trust, Franklin Templeton Global Trust, Franklin
Templeton International Trust,
Franklin Templeton Money Fund Trust, Franklin Templeton Variable
Insurance Products Trust,
Franklin Value Investors Trust, Institutional Fiduciary Trust,
Templeton China World Fund,
Templeton Developing Markets Trust, Templeton Funds, Templeton
Global Investment Trust,
Templeton Global Opportunities Trust, Templeton Global Smaller
Companies Fund, Templeton
Growth Fund, Inc., Templeton Income Trust, Templeton Institutional
Funds, The Money Market
Portfolios, Franklin Limited Duration Income Trust, Franklin
Universal Trust, Templeton Dragon
Fund, Inc., Templeton Emerging Markets Fund, Templeton Emerging
Markets Income Fund, and
Templeton Global Income Fund, Franklin Advisers, Inc., Franklin
Templeton Investment
Management Limited, K2/D&S Management Co., L.L.C., FASA LLC,
Franklin Templeton
Institutional, LLC, Franklin Advisory Services, LLC, Franklin
Mutual Advisers, LLC, Templeton
3
Investment Counsel, LLC, Templeton Asset Management Ltd., and
Templeton Global Advisors
Limited filed an application on September 14, 2017, and an
amendment on March 9, 2018.
Applicants requested an order under section 6(c) of the Investment
Company Act of 1940 (the
"Act") for an exemption from sections 18(f) and 21(b) of the Act,
under section 12(d)(1)(J) of
the Act for an exemption from section 12(d)(1) of the Act, under
sections 6(c) and 17(b) of the
Act for an exemption from sections 17(a)(1), 17(a)(2), and 17(a)(3)
of the Act, and under section
17(d) of the Act and rule 17d-1 under the Act to permit certain
joint arrangements and
transactions. The order supersedes a prior order1 and permits
certain registered management
investment companies to participate in a joint lending and
borrowing facility.
On May 10, 2018, a notice of the filing of the application was
issued (Investment Company Act
Release No. 33095). The notice gave interested persons an
opportunity to request a hearing and
stated that an order disposing of the application would be issued
unless a hearing was ordered.
No request for a hearing has been filed, and the Commission has
not ordered a hearing.
The matter has been considered and it is found, on the basis of
the information set forth in the
application, as amended, that granting the requested exemption
is consistent with and appropriate
in the public interest, and consistent with the protection of
investors and the purposes fairly
intended by the policy and provisions of the Act.
It is also found that the terms of the proposed transactions,
including the consideration to be paid
or received, are reasonable and fair and do not involve
overreaching on the part of any person
concerned, and that the proposed transactions are consistent
with the policy of each registered
investment company concerned and the general purposes of the
Act.
It is further found that the participation of each registered
investment company in the proposed
credit facility is consistent with the provisions, policies,
and purposes of the Act, and not on a
basis different from or less advantageous than that of other
participants.
Accordingly, in the matter of Franklin Alternative Strategies
Funds, et al., (File No. 812-14819),
IT IS ORDERED, under section 6(c) of the Act, that the requested
exemptions from sections
18(f) and 21(b) of the Act are granted, effective immediately,
subject to the conditions in the
application, as amended.
IT IS FURTHER ORDERED, under section 12(d)(1)(J) of the Act,
that the requested exemption
from section 12(d)(1) of the Act is granted, effective immediately,
subject to the conditions in
the application, as amended.
IT IS FURTHER ORDERED, under sections 6(c) and 17(b) of the Act,
that the requested
exemptions from sections 17(a)(1), 17(a)(2), and 17(a)(3) of the
Act are granted, effective
immediately, subject to the conditions in the application, as
amended.
1 Franklin Gold Fund, et al., Investment Company Act Release Nos.
24016 (Sept. 16, 1999) (notice) and
24080 (Oct. 13, 1999) (order).
4
IT IS FURTHER ORDERED, under section 17(d) of the Act and rule
17d-1 under the Act, that
the proposed transactions are approved, effective immediately,
subject to the conditions in the
application, as amended.
For the Commission, by the Division of Investment Management,
under delegated authority.
Eduardo A. Aleman
Assistant Secretary