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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 |
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
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:
|
Date examination completed: | ||||||||||||
2. State identification Number: | |||||||||||||
AL | By Fund #48456 |
AK |
By Fund
|
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 |
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 #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 Exemption No permit # |
||
MS | By Class Investor Class #60066861 |
MO | By Fund no permit |
MT | By Class Investor Class #270386 |
NE |
By 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 |
OH | By Prospectus #BE1962849 |
||
OK |
By Class Investor Class |
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 |
||
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 |
VA | By Trust #183038 |
WA |
By Class #60066958 |
WV |
By Class Investor Class |
WI | By Class Investor Class #772165 |
WY | By Trust no permit # |
PR |
By Class Investor Class |
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: | |||||||||||
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 |
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
|
KS | By Fund not registered |
KY | By Prospectus #60451097 |
|
LA | By Prospectus #170562 |
ME | By Class not registered |
MD |
By Class #SM20210269 |
MA | By Class not registered |
MI | By Class not registered |
MN MX |
By Trust 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 #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 #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 |
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
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
This ‘40-17F1’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on / Effective on: | 1/23/24 | 40-17F1 | ||
1/19/24 | 40-17F1 | |||
9/30/23 | 24F-2NT, N-CEN, N-CSR, NPORT-P | |||
5/31/23 | NPORT-P | |||
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