0001752724-19-070248.txt : 20190702
0001752724-19-070248.hdr.sgml : 20190702
20190702094533
ACCESSION NUMBER: 0001752724-19-070248
CONFORMED SUBMISSION TYPE: N-CEN/A
PUBLIC DOCUMENT COUNT: 4
CONFORMED PERIOD OF REPORT: 20181031
FILED AS OF DATE: 20190702
DATE AS OF CHANGE: 20190702
EFFECTIVENESS DATE: 20190702
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FRANKLIN VALUE INVESTORS TRUST
CENTRAL INDEX KEY: 0000856119
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: N-CEN/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-05878
FILM NUMBER: 19935482
BUSINESS ADDRESS:
STREET 1: ONE FRANKLIN PARKWAY
CITY: SAN MATEO
STATE: CA
ZIP: 94403-1906
BUSINESS PHONE: 650-312-2000
MAIL ADDRESS:
STREET 1: ONE FRANKLIN PARKWAY
CITY: SAN MATEO
STATE: CA
ZIP: 94403-1906
FORMER COMPANY:
FORMER CONFORMED NAME: FRANKLIN BALANCE SHEET INVESTMENT FUND
DATE OF NAME CHANGE: 19920703
0000856119
S000007352
FRANKLIN MUTUAL U.S. VALUE FUND
C000020187
CLASS A
FRBSX
C000020189
CLASS C
FCBSX
C000020190
ADVISOR CLASS
FBSAX
C000020191
CLASS R
FBSRX
C000128824
Class R6
FBSIX
0000856119
S000007354
FRANKLIN MICROCAP VALUE FUND
C000020197
ADVISOR CLASS
FVRMX
C000020198
CLASS A
FRMCX
C000128826
Class R6
FMCVX
0000856119
S000007356
FRANKLIN SMALL CAP VALUE FUND
C000020203
CLASS A
FRVLX
C000020205
CLASS C
FRVFX
C000020206
CLASS R
FVFRX
C000020207
ADVISOR CLASS
FVADX
C000128827
Class R6
FRCSX
N-CEN/A
1
primary_doc.xml
X0201
N-CEN/A
0001752724-19-001644
LIVE
0000856119
XXXXXXXX
811-05878
true
N-1A
true
Franklin Value Investors Trust
811-05878
0000856119
549300RD0PTCJOMRSV24
One Franklin Parkway
SAN MATEO
94403-1906
US-CA
US
650-312-2000
Franklin Templeton Services, LLC
One Franklin Parkway
San Mateo
94403-1906
650-312-2000
Records related to its functions as Administrative manager
Franklin Advisory Services, LLC
One Franklin Parkway
San Mateo
94403-1906
800-632-2350
Records related to its functions as Investment manager
Franklin Templeton Investor Services, LLC
One Franklin Parkway
San Mateo
94403-1906
650-312-2000
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
3
Y
Gregory E. Johnson
N/A
Y
Jennifer M. Johnson
N/A
Y
Burton J. Greenwald
N/A
N
Ann Torre Bates
N/A
N
Ketih E. Mitchell
N/A
N
David W. Niemiec
N/A
N
Charles Rubens, II
N/A
N
Edward I. Altman
N/A
N
Jan Hopkins Trachtman
N/A
N
Robert E. Wade
N/A
N
Gregory H. Williams
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
ERNST & YOUNG LLP
42
N/A
Y
N
N
N
N
N
Franklin MicroCap Value Fund
S000007354
5493006EVJKC1V25UM73
Y
3
0
0
N/A
N
N
Y
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
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 Advisory Services, LLC
801-51967
000111361
549300TQEE2Y39SM5J42
N
FRANKLIN TEMPLETON INVESTOR SERVICES, LLC
84-1036
N/A
Y
N
N
Markit North America, Inc
13-4153988
TIN
N
Bloomberg Finance L.P.
5493001KJTIIGC8Y1R12
N
Thomson Reuters (Markets) LLC
549300561UZND4C7B569
CA
N
Intercontinental Exchange, Inc
13-3668779
TIN
N
Securities Evaluations, Inc
13-3186551
TIN
N
Y
Deutsche Bank AG
529900LKVNEX4SG4UD38
PH
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)
DBS Bank Ltd.
ATUEL7OJR5057F2PV266
SG
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)
Skandinaviska Enskilda Banken
F3JS33DEI6XQ4ZBPTN86
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Bank of South Africa Limited
RILFO74KP1CM8P6PCT96
ZA
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
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Hong Kong and Shanghai Banking Corporation
2HI3YI5320L3RW6NJ957
HK
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
529900SEOICVR2VM6Y05
NL
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)
BNP Paribas Securities Services
549300WCGB70D06XZS54
FR
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)
The Bank of New York Mellon SA/NV
N/A
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Hong Kong and Shanghai Banking Corporation
2HI3YI5320L3RW6NJ957
LK
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)
The Bank of Tokyo-Mitsubishi UFJ Ltd.
N/A
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hong Kong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
AU
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 NY Mellon SA/NV
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
0.000000000000000
Franklin Templeton Investment Services, Inc.
8-43206
000027884
N/A
0.00
Franklin Templeton Financial Services Corp.
8-29504
000013594
N/A
0.000
OPPENHEIMER FUNDS INC
8-8253
000104983
254900VH02JQR2L8XD64
2347.00000000
SANFORD C. BERNSTEIN & CO., LLC
8-52942
000104474
54930049G8WQ5OOUSD19
735.00000000
WALLACHBETH CAPITAL LLC
8-67936
000147853
549300R371KUKXEXC133
15967.00000000
CITIGROUP GLOBAL MARKETS INC
8-8177
000007059
MBNUM2BPBDO7JBLYG310
4400.00000000
CREDIT SUISSE HOLDINGS (USA), INC.
8-422
000000816
1V8Y6QCX6YMJ2OELII46
5060.00000000
GOLDMAN SACHS & CO
8-129
000000361
549300K06R9ZUC3UEN80
2511.00000000
UBS SECURITIES LLC
8-22651
000007654
BFM8T61CT2L1QCEMIK50
10058.00000000
JEFFERIES & CO INC
8-15074
000002347
N/A
16275.00000000
CANTOR FITZGERALD & CO
8-201
000000134
5493004J7H4GCPG6OB62
2769.00000000
MERRILL LYNCH PIERCE FENNER & SMITH INC
8-7221
000007691
B4TYDEB6GKMZO031MB27
2580.00000000
64869.00000000
0.00
Y
311450046.00000000
Committed
2000000000.00000000
N
N
N
N
Franklin Balance Sheet Investment Fund
S000007352
549300YEOWYM0BM8V007
Y
5
0
0
N/A
N
N
Y
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
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 Advisory Services, LLC
801-51967
000111361
549300TQEE2Y39SM5J42
N
FRANKLIN TEMPLETON INVESTOR SERVICES, LLC
84-1036
N/A
Y
N
N
Bloomberg Finance L.P
5493001KJTIIGC8Y1R12
N
Intercontinental Exchange, Inc
13-3668779
TIN
N
Markit North America, Inc
13-4153988
TIN
N
Securities Evaluations, Inc
13-3186551
TIN
N
Thomson Reuters (Markets) LLC
549300561UZND4C7B569
CA
N
Y
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 NY Mellon SA/NV
MMYX0N4ZEZ13Z4XCG897
DE
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)
Hongkong and Shanghai Banking Corporation
2HI3YI5320L3RW6NJ957
LK
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
N/A
IE
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)
Citibanamex
2SFFM4FUIE05S37WFU55
MX
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)
Banco Bilbao Vizcaya Argentaria
K8MS7FD7N5Z2WQ51AZ71
ES
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)
Citibank Argentina
E57ODZWZ7FF32TWEFA76
AR
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)
HSBC Bank (China) Company Limited
2CZOJRADNJXBLT55G526
CN
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
KR
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)
Credit Suisse AG
549300CWR0W0BCS9Q144
CH
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)
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))
BNP Paribas Securities Services
549300WCGB70D06XZS54
FR
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)
FRANKLIN TEMPLETON INVESTOR SERVICES LLC
N/A
Y
N
Self - rule 17f-2 (17 CFR 270.17f-2)
The Bank of Tokyo-Mitsubishi UFJ Ltd.
N/A
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Europe Plc
N1FBEDJ5J41VKZLO2475
PT
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)
The HongKong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank (China) Company Limited
2CZOJRADNJXBLT55G526
CN
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
RBC DOMINION SECURITIES INC.
N/A
N/A
549300QJJX6CVVUXLE15
CA
6736.00000000
GOLDMAN SACHS & CO
8-129
000000361
549300K06R9ZUC3UEN80
20216.00000000
AEGIS CAPITAL CORP
8-31616
000015007
254900S6STN2SDK6LR76
5427.00000000
SANFORD C. BERNSTEIN & CO., LLC
8-52942
000104474
54930049G8WQ5OOUSD19
31893.00000000
CREDIT SUISSE HOLDINGS (USA), INC.
8-422
000000816
1V8Y6QCX6YMJ2OELII46
5938.00000000
UBS SECURITIES LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
6364.00000000
JP MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
16836.00000000
MORGAN STANLEY & CO INC
8-15869
000008209
I7331LVCZKQKX5T7XV54
5161.00000000
DEUTSCHE BANK SECURITIES INC.
8-17822
000002525
9J6MBOOO7BECTDTUZW19
10067.00000000
INVESTMENT TECHNOLOGY GROUP INC
8-44218
000029299
549300S41SMIODVIT266
14519.00000000
152164.00000000
GOLDMAN SACHS & CO
8-129
000000361
549300K06R9ZUC3UEN80
1112515.00000000
BARCLAYS CAPITAL INC
8-41342
000019714
AC28XWWI3WIBK2824319
3790000.00000000
NOMURA SECURITIES LTD
8-15255
000004297
OXTKY6Q8X53C9ILVV871
1276622.50
CITIGROUP GLOBAL MARKETS INC
8-8177
000007059
MBNUM2BPBDO7JBLYG310
708250.00000000
6887387.50
Y
985776169.00000000
Committed
2000000000.00000000
N
N
N
N
Franklin Small Cap Value Fund
S000007356
5493008L8BP00V1G7510
Y
5
0
0
N/A
N
N
Y
N
BNY Mellon
HPFHU0OQ28E4N0NFVK49
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 17a-8 (17 CFR 270.17a-8)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
Y
N
N
Franklin Advisory Services, LLC
801-51967
000111361
549300TQEE2Y39SM5J42
N
FRANKLIN TEMPLETON INVESTOR SERVICES, LLC
84-1036
N/A
Y
N
N
Intercontinental Exchange, Inc
13-3668779
TIN
N
Bloomberg Finance L.P
5493001KJTIIGC8Y1R12
N
Markit North America, Inc
13-4153988
TIN
N
Securities Evaluations, Inc
13-3186551
TIN
N
Thomson Reuters (Markets) LLC
549300561UZND4C7B569
CA
N
Y
Banco Bilbao Vizcaya Argentaria
K8MS7FD7N5Z2WQ51AZ71
ES
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)
Hongkong and Shanghai Banking Corporation
2HI3YI5320L3RW6NJ957
TH
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)
BNP Paribas Securities Services
549300WCGB70D06XZS54
FR
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)
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
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Euroclear Bank
N/A
BE
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)
The Bank of NY Mellon SA/NV
MMYX0N4ZEZ13Z4XCG897
DE
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)
Citibanamex
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hong Kong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
AU
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)
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 New York Mellon
N/A
IE
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)
CIBC Mellon Trust Company
549300IYUUH221WBZ505
CA
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)
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
0.0000000
Franklin Templeton Investment Services, Inc.
8-43206
000027884
N/A
0.00
Franklin Templeton Financial Services Corp.
8-29504
000013594
N/A
0.00
UBS SECURITIES LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
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EXEMPT ORDER INFO
3
IC-15534.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
4
IC-32722.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
5
IC-33117.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