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Advisors Preferred Trust – ‘40-17F1’ on 1/23/24 re: Advisors Preferred Trust

On:  Tuesday, 1/23/24, at 12:08pm ET   ·   Effective:  1/23/24   ·   Accession #:  1580642-24-392   ·   File #:  811-22756

Previous ‘40-17F1’:  ‘40-17F1’ on 1/23/24   ·   Latest ‘40-17F1’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 1/23/24  Advisors Preferred Trust          40-17F1     1/23/24    1:89K  Advisors Preferred Trust          Blu Giant, LLC/FA

Certificate of Accounting of Securities of an Investment Company in the Custody of Members of National Securities Exchanges   —   Form N-17f-1   —   Rule 17f-1   —   ICA’40

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 40-17F1     Certificate of Accounting of Securities of an       HTML     88K 
                Investment Company in the Custody of Members of                  
                National Securities Exchanges                                    


This is an HTML Document rendered as filed.  [ Alternative Formats ]



UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM N-17f-1

 

Certificate of Accounting of Securities and Similar

Investments of a Management Investment Company

in the Custody of Members of

National Securities Exchanges

 

Pursuant to Rule 17f-1 [17 CFR 270.17f-1]

 

1.     Investment Company Act File Number:
Advisors Preferred Trust - 811-22756
Spectrum Low Volatility Fund

 

Date examination completed:

January 19, 2024

2. State identification Number:
AL By Fund
#48456
AK

By Fund
Investor
#6009111

 

AZ By Class
Investor Class
#MF84722
AR By Fund
#60038347
CA By Trust
no permit #
CO By Trust
#2013-52-250
CT By Fund
#1103940
DE By Fund
no permit
DC

By Class

Investor Class
#60073444

FL None required GA By Trust
#MFO49318
HI By Fund
no permit
ID By Fund
Low Volatility
#79073
IL By Trust
#60027229
IN By Trust
#13-0029IC
IA

By Class
Investor Class

#I-108970

KS By Fund
#2018S0001096
KY By Prospectus
#60451097
LA By Prospectus
#170562
ME By Class
Investor Class
#10065419
MD By Class
Investor Class
#SM 120152440
MA By Class
Investor Class
#60185334
MI By Class
Investor Class
#985582

MN

MX

By Trust
#R-55307.1

Exemption

No permit #

MS By Class
Investor Class
#60066861
MO By Fund
no permit
MT By Class
Investor Class
#270386
NE

By Class
Investor Class

#121856

NV  By Fund
no permit #
NH By Class
Investor Class
#MF20-0083612
NJ By Prospectus
#MF 18494
NM By Class
Investor Class
 #60440
NY By Fund
#S33-49-70
NC By Trust
no permit #
ND

By Class

Investor Class
#MF20-0374

OH By Prospectus
#BE1962849
OK

By Class

Investor Class
#SE-2247136

OR By Fund
#2020-617
PA By Trust
#2013-02-070MF
RI By Fund
no permit #
SC

By Fund

#MF 21458

SD

By Class

Investor Class
#81761

                       
                         
 
 

 

TN

By Class

Investor Class

#RN2023B-0801

TX By Class
Investor Class
#C 106625
UT By Prospectus
#007-5859-59
VT

By Class

Investor Class
#7/07/20-07

VA By Trust
#183038
WA

By Class
Investor Class

#60066958

WV

By Class

Investor Class
#106983

WI By Class
Investor Class
#772165
WY By Trust
no permit #
PR

By Class

Investor Class
#60347-0

GU By Trust
#2018-10728
VI By Trust
Not registered
                       
Other (specify):
3. Exact name of investment company as specified in registration statement: Spectrum Low Volatility Fund, a  series of the Advisors Preferred Trust
4. Address of principal executive office (number, street, city, state, zip code): 1445 Research Boulevard, Suite 530, Rockville, MD  20850

 

 
 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM N-17f-1

 

Certificate of Accounting of Securities and Similar

Investments of a Management Investment Company

in the Custody of Members of

National Securities Exchanges

 

Pursuant to Rule 17f-1 [17 CFR 270.17f-1]

 

1.     Investment Company Act File Number:
Advisors Preferred Trust - 811-22756
Spectrum Unconstrained Fund

Date examination completed:

January 19, 2024

2. State identification Number:
AL By Fund
# 61998
AK By Fund
Investor
not registered
AZ By Class
Investor Class
 not registered
AR By Fund
not registered
CA By Trust
#ORG 109463
CO By Trust
#2013-52-250
CT By Fund
#1113776
DE By Fund
not registered
DC

By Class

Investor Class
not registered

FL None required GA By Trust
 #SC-MF-049318
HI By Fund
no registered
ID By Fund
not regiseredt
IL By Trust
#60027229
IN By Trust
#FCS - P - 002295
IA

By Class
not registed

 

KS By Fund
not registered
KY By Prospectus
#60451097
LA By Prospectus
#170562
ME By Class
not registered
MD

By Class
Investor Class

#SM20210269

MA By Class
not registered
MI By Class
not registered

MN

MX

By Trust
#R-55307.1

By Exemption

MS By Class
not registered
MO By Fund
not registered
MT By Class
not registered
NE By Class
not registered
NV  By Fund
not registered
NH By Class
not registered
NJ By Prospectus
#MF18494
NM

By Class
Investor Class

#72692

NY By Fund
#S34-63-95
NC By Trust
No Permit
ND

By Class

Not registered

OH By Prospectus
#BE1962849
OK

By Class

Not registered

OR By Fund
#2021-2247
PA By Trust
#2013-02-070MF
RI By Fund
not registered
SC

By Fund

Not registered

SD

By Class

Not registered

TN

By Class

Not registered

TX

By Class
Investor Class

#C 129956

 

UT By Prospectus
#007-5859-59
VT

By Class

Not registered

VA By Trust
#183038
WA By Class
Investor Class
#60090651
                         
 
 

 

WV

By Class

Not registered

WI By Class
Not registered
WY By Trust
no permit #
PR

By Class

Investor Class
no permit

GU By Trust
#2018-10728
VI By Trust
no permit
Other (specify):
3. Exact name of investment company as specified in registration statement: Spectrum Unconstrained Fund, a  series of the Advisors Preferred Trust
4. Address of principal executive office (number, street, city, state, zip code): 1445 Research Boulevard, Suite 530, Rockville, MD  20850

 

 
 

MANAGEMENT STATEMENT REGARDING COMPLIANCE WITH CERTAIN PROVISIONS OF THE INVESTMENT COMPANY ACT OF 1940

 

January 19, 2024

 

We, as members of management of Spectrum Low Volatility Fund and Spectrum Unconstrained Fund (the “Funds”), each a series of Advisors Preferred Trust, are responsible for complying with the requirements of subsections (b)(1) and (b)(6) of Rule 17f-1, “Custody of Securities with Members of National Securities Exchanges,” of the Investment Company Act of 1940. We are also responsible for establishing and maintaining effective internal controls over compliance with those requirements. We have performed an evaluation of the Funds’ compliance with the requirements of subsections (b)(1) and (b)(6) of Rule 17f-1 as of September 30, 2023, and from May 31, 2023, through September 30, 2023.

 

Based on this evaluation, we assert that the Funds were in compliance with the requirements of subsections (b)(1) and (b)(6) of Rule 17f-1 for the Investment Company Act of 1940 as of September 30, 2023, and from May 31, 2023, through September 30, 2023, with respect to securities reflected in the investment account of each Fund.

 

Spectrum Low Volatility Fund

Spectrum Unconstrained Fund

 

 

 

/s/ ___________________________________________

Catherine Ayers-Rigsby, Principal Executive Officer

 

 

 

/s/  ____________________________________________

Christine Casares, Principal Financial Officer

 

 

 

 

Report of Independent Public Accountant

 

To the Board of Trustees of

Advisors Preferred Trust

We have examined management’s assertion, included in the accompanying Management Statement Regarding Compliance With Certain Provisions of the Investment Company Act of 1940, that the Spectrum Low Volatility Fund and Spectrum Unconstrained Fund (the “Funds”), each a series of Advisors Preferred Trust, complied with the requirements of subsections (b)(1) and (b)(6) of Rule 17f-1 under the Investment Company Act of 1940 (the “Act”) (the “specified requirements”) as of September 30, 2023. The Funds’ management is responsible for its assertion. Our responsibility is to express an opinion on management's assertion about the Funds’ compliance with the specified requirements based on our examination.

Our examination was conducted in accordance with attestation standards established by the American Institute of Certified Public Accountants. Those standards require that we plan and perform the examination to obtain reasonable assurance about whether management's assertion about compliance with the specified requirements is fairly stated, in all material respects. An examination involves performing procedures to obtain evidence about whether management's assertion is fairly stated in all material respects. The nature, timing, and extent of the procedures selected depend on our judgment, including an assessment of the risks of material misstatement of management's assertion, whether due to fraud or error. We believe that the evidence we obtained is sufficient and appropriate to provide a reasonable basis for our opinion.

We are required to be independent and to meet our other ethical responsibilities in accordance with relevant ethical requirements relating to the engagement.

Included among our procedures were the following tests performed as of September 30, 2023, and with respect to agreement of security purchases and sales, for the period from May 31, 2023 (the date of our last examination), through September 30, 2023:

·Confirmation of all securities held by institutions in book entry form at National Financial Services, LLC (“NFS”) and U.S. Bank, NA (the “Custodian”).

 

·Confirmation of all securities hypothecated, pledged, placed in escrow, or out for transfer with brokers, pledgees, or transfer agents.

 

·Reconciliation of all such securities to the books and records of the Funds, NFS and the Custodian.

 

·Agreement of 10 security purchases and 11 security sales or maturities since our last report from the books and records of the Funds to broker statements.

We believe that our examination provides a reasonable basis for our opinion. Our examination does not provide a legal determination on the Funds’ compliance with specified requirements.

 
 

In our opinion, management's assertion that Spectrum Low Volatility Fund and Spectrum Unconstrained Fund complied with the requirements of subsections (b)(1) and (b)(6) of Rule 17f-1 of the Investment Company Act of 1940 as of September 30, 2023, with respect to securities reflected in the investment accounts of the Funds is fairly stated, in all material respects.

This report is intended solely for the information and use of management and the Board of Trustees of Advisors Preferred 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.

 

 

COHEN & COMPANY, LTD.

Philadelphia, Pennsylvania

January 19, 2024


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘40-17F1’ Filing    Date    Other Filings
Filed on / Effective on:1/23/2440-17F1
1/19/2440-17F1
9/30/2324F-2NT,  N-CEN,  N-CSR,  NPORT-P
5/31/23NPORT-P
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Filing Submission 0001580642-24-000392   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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